E Filing User Guide

User Guide
July 2023
Alberta Utilities Commission
eFiling System User Guide
Eau Claire Tower

1400, 600 Third Avenue S.W.
Calgary, Alberta T2P 0G5
Phone: 310-4AUC
Email: info@auc.ab.ca
www.auc.ab.ca
Contents
1 Introduction.....................................................................................................................1
2 System at a glance .............................................................................................................1

2.1 Main toolbar ..................................................................................1
2.2 Go to…..........................................................................................2
2.3 Navigation menu.............................................................................3
3 Create and manage user accounts .........................................................................................3

3.1 Organizational accounts....................................................................3
3.2 Single-user accounts.........................................................................9
3.3 Manage accounts .......................................................................... 10
4 Proceedings ................................................................................................................... 12
4.1 Request a new proceeding............................................................... 13
5 Applicants ..................................................................................................................... 13
5.1 Add an applicant ........................................................................... 14
5.2 View, edit and delete applicants ....................................................... 15
6 Applications................................................................................................................... 16
6.1 Application types........................................................................... 16
6.2 Add an application......................................................................... 28
6.3 View and edit applications............................................................... 32
6.4 Clone an application....................................................................... 34
6.5 Delete an application ..................................................................... 34
7 Application documents..................................................................................................... 35
7.1 Application document types............................................................. 36
7.2 Add application documents.............................................................. 38
7.3 View and edit application documents................................................. 42
7.4 Add or remove documents............................................................... 43
7.5 Download documents..................................................................... 44
8 Related proceedings ........................................................................................................ 46
9 Register a proceeding....................................................................................................... 47
10 Participate in a proceeding ................................................................................................ 50

10.1 To participate in a proceeding .......................................................... 51
10.2 Change or remove participant role..................................................... 56
10.3 Participation notification................................................................. 56
11 Schedules...................................................................................................................... 56
11.1 Schedule types.............................................................................. 57
12 Filings........................................................................................................................... 58
eFiling System User Guide (July 2023) • i

12.1 Filing types .................................................................................. 58
12.2 Create a filing ............................................................................... 60
12.3 Edit filing information..................................................................... 64
12.4 Upload filing document(s) ............................................................... 65
12.5 Information/undertaking requests and responses ................................. 67
12.6 Register filing ............................................................................... 67
12.7 Delete filing ................................................................................. 68
13 Revising a document ........................................................................................................ 68

13.1 Revision document upload............................................................... 69
13.2 Revision document display .............................................................. 72
13.3 Notification of revisions .................................................................. 73
13.4 Searching for revised documents....................................................... 73
14 Exhibit numbers.............................................................................................................. 74
14.1 Exhibit number format.................................................................... 74
14.2 View and search exhibits................................................................. 74
15 Directions...................................................................................................................... 75
15.1 Direction properties....................................................................... 75
15.2 Viewing directions ......................................................................... 76
15.3 Direction details............................................................................ 77
15.4 Direction statuses.......................................................................... 77
15.5 Direction monitoring and notifications ............................................... 77
15.6 Responding to directions................................................................. 78
15.7 Responding to a direction with a filing................................................ 78
15.8 Responding to a direction with an application document ........................ 83
16 Confidential proceedings................................................................................................... 86
16.1 Requesting information to remain confidential and off the public record .... 87
16.2 Disclosing party access.................................................................... 89
16.3 Re-submitting confidential documents ............................................... 90
16.4 Exhibit numbers for confidential documents ........................................ 98
16.5 Revisions to confidential documents .................................................. 98
16.6 Replacing a public generated summary document with a redacted version.. 99
16.7 Requesting access to the confidential documents................................ 100
16.8 Disclosing party grants or denies access requests ................................ 102
16.9 Proceedings related to confidential proceedings ................................. 103
16.10 Statutory declaration ................................................................... 103
17 System communication................................................................................................... 107

17.1 Notifications .............................................................................. 107
17.2 Daily notification summary email .................................................... 108
17.3 Email Messages........................................................................... 110
17.4 Daily directions summary .............................................................. 110
17.5 Global notifications...................................................................... 110
18 Dispositions ................................................................................................................. 111

18.1 Rescinded or varied dispositions ..................................................... 111
ii • eFiling System User Guide (July 2023)

19 Reporting .................................................................................................................... 112
19.1 Submit a report........................................................................... 112
19.2 View a report ............................................................................. 114
20 Find ........................................................................................................................... 115
21 Search ........................................................................................................................ 115
22 Advanced Search........................................................................................................... 116

22.1 Add search terms ........................................................................ 116
22.2 Add search property..................................................................... 120
22.3 Searches with multiple search terms or properties .............................. 122
22.4 Groups...................................................................................... 123
22.5 Refiners .................................................................................... 124
eFiling System User Guide (July 2023) • iii

1 Introduction
This guide describes how to use the electronic filing system (eFiling System) to apply to the Alberta Utilities
Commission (AUC) for the necessary regulation and rate approvals for electric, gas and water utilities; approvals
for the construction and/or alteration and operation of power plants, substations and transmission lines; and
approval of market rules and standards proposed by the Alberta Electric System Operator (AESO). All applicable
acts, regulations and rules referenced in this guide are available on the AUC website.
Using the eFiling System, applicants can file applications and submit supporting documentation; interested parties
can observe or participate in a proceeding by registering and providing associated filings.
All users must agree to the AUC privacy policy that is available on the AUC website.
All applications registered with the AUC, related public documents, and disposition documents dating back to 1974
are publicly available.
Questions about the eFiling System should be sent to info@auc.ab.ca or call 310-4AUC.
2 System at a glance
The home page is shown when you first log in to the eFiling System. It gives a snapshot of recent activity,
notifications, priority directions and upcoming schedule items.
2.1 Main toolbar

The main toolbar and the functions on it are always available in the eFiling System.
eFiling System User Guide - Introduction July 2023) • 1

2.2 Go to…
Go to… is also where you can quickly access the following:

My proceedings lists your draft (as applicant) and active (as registered party) proceedings.
My schedules lists hearings, meetings scheduled for all active proceedings where you are a registered party (including
as observer).
My notifications lists all notifications for all active proceedings where you are an applicant or registered participant.
My directions lists the directions assigned to you as the responsible party.
Regulatory documents provides multiple options for viewing public dispositions, notices and ruling filings. Facility disposition
documents can be viewed by various decision index categories to assist stakeholders in researching issues that are raised
frequently during proceedings for power plants (including wind, hydro and solar), transmission lines, gas utility pipelines and
other facilities.
Reporting is used to submit special reports to the AUC, for example, those required for Rule 002 and Rule 005.
Discussions lists current discussion communities.
The Proceeding home page shows applications, schedule process steps and recent activity including filings,
registrations, documents and notifications.
Navigation
menu
Click
green underlined
text to open the
proceeding,
application,
schedule and
process
information.
Recent filings,
registrations,
documents and
notifications are
listed and
accessed on the
tabs.
2 • eFiling System User Guide – System at a glance (July 2023)
Access a detail page from the left navigation menu to work or view the data.
2.3 Navigation menu

Use the navigation menu to open detail pages with information about:
• applications and documents submitted with the application
• proceeding applicants (primary applicant, co-applicants and representatives)
• directions from dispositions on the proceeding
• the disposition of the proceeding applications
• documents that can be zipped and downloaded
• proceeding filings
• proceeding notifications
• registered parties
• schedule process items
3 Create and manage user accounts

There are two types of accounts that can be set up with the AUC to access the eFiling System: organizational
accounts and single-user accounts.
3.1 Organizational accounts

Organizational accounts are set up in the AUC’s eFiling System for associations, companies, organizations,
Indigenous groups, municipalities and interveners where there are multiple users. Organizational user accounts are
set up and maintained by the organization’s eFiling System organizational administrator. Individual users of the
organizational account have the right to update their own account profile.
3.1.1 Organizational administrator

As an eFiling organizational administrator, you manage the eFiling System account for your organization. This
includes adding and suspending user accounts and updating user account profiles including general information,
passwords and notification options.
When an organization requests an organizational account for the eFiling System, the AUC creates the
organizational profile, sets up the initial settings and sends the information to the email addresses given for the
organizational administrator and confidential administrator.
eFiling System User Guide - Create and manage user accounts July 2023) • 3
3.1.2 Confidential administrator
An organization’s confidential administrator is responsible for determining which individuals in your organization,
as well as any representatives, should have access to your confidential documents for each confidential
proceeding. The confidential administrator is also the gatekeeper for access to your confidential material for other
individuals participating in the proceeding that have submitted a confidentiality undertaking. The AUC creates the
initial confidential administrator in an organization. The initial confidential administrator can add and delete other
confidential administrators for an organization.
3.1.3 System functions by role

Organizational Confidential Organizational
eFiling System Functions administrator administrator User
Modify their user profile

Create an application
Participate in a proceeding
Create a filing
Participate in a discussion community
Change their own password
Modify general organizational information
Add organizational users
Reset user password for their organization’s users
Add other eFiling System administrators for their
organization
Modify general information for all their organization’s
users
Suspend/reactivates their organization’s users
Request the organization be removed from the eFiling
System
Add other confidential administrators in your
organization. The first one must be set up by the AUC.
View confidential motion documents from your
organization
View confidential applications and filing documents
from your organization.
Allow other users in your organization and
representatives to have access to your organization’s
confidential material.
Approve other proceeding participants that have
submitted a confidentiality undertaking to access your
organization’s confidential material.
3.1.4 Create an organizational account

An organization can request to be set up in the eFiling System by submitting a completed New organizational
account form together with a letter on organizational letterhead stating the approval of the information set out in
the new organizational account form. The accompanying letter must be signed by an officer of the organization.
The AUC will not create your organizational account if the letter is not provided.
4 • eFiling System User Guide – Create and manage user accounts (July 2023)
From the AUC’s homepage, select Access to the eFiling System > Read more. Select New organizational account.
Complete the contact information for your organization. Select Next.
Complete the contact information for your account’s organizational administrator. Select Next.
Complete the contact information for your account’s confidential administrator.
• Select Yes if the confidential administrator is the same as the organizational administrator, or
• Select No to reveal contact fields for a different confidential administrator, or
• Skip this step if no confidential administrator is being identified at this time.
Upload the required accompanying letter in the File upload window.
Select Submit. A member of the AUC Assistance and Information Services team will contact the organizational
administrator listed in the form.
3.1.5 Organizational profile

As the organization’s eFiling System administrator for your organization, login with your ID and password assigned
by the AUC. The first time you log in, you must enter a security question and answer.
Select My organizational profile on the green menu bar.
3.1.6 Add/edit users

Select Add new user to add new eFiling System users for your organization and enter the following information:
• Login ID (required)
• First name (required)
• Last name (required)
• Email address (required)
• Confirm email address (required and must be the exact duplicate of the email address)
• Phone number (optional)
• Assign as administrator (select to assign a co-administrator)
• Assign as confidential administrator (initial confidential administrator must be set up by the AUC)
Click the action icon beside the User ID to open a pop-up box to edit an organizational user or reset a
password.
From the Edit organizational user screen, you can change a user’s information, reset their password or change
their notification settings.
Note: If you are the only organizational administrator for your organization, your status cannot be suspended.
Use Unlock user account if users have requested their account to be reopened after three unsuccessful login
attempts.
Select “reset password” to send a system generated password to the user’s email address. Users can reset their
own password using Forgot password.
To remove your organization from the eFiling System, select Request to close my organization.
Select the type of closure and enter a reason for the closure.
If the closure is due to an amalgamation, select the name of the succeeding organization and enter the date the
amalgamation is effective. The succeeding organization must already be registered in the eFiling System.
Select Submit to show a message stating that the request to the AUC to close the organization’s account and all
users’ accounts within this organization was submitted. A “Request to terminate organization profile for
<organization name>” email confirmation is also sent to the eFiling System administrator.
3.2 Single-user accounts

A single-user account is set up for the use of one individual and provides access to proceedings and related
documents and gives you the right to edit, modify and terminate your own account profile.
As a single-user account holder, you are assumed by the system to be a confidential administrator.
3.2.1 Create a single-user account
Access the eFiling System website and select New personal account.
If you are part of an organization, your organization’s eFiling System

administrator will create an account profile on your behalf.
All users must agree to the AUC privacy policy available on the AUC website.
Enter information on the registration form. Fields with a red star are mandatory. Mandatory fields include:
• First and last name.
• Email address (this must be a unique email address in the eFiling System). If you do not have an email
address, your name, mailing address and phone number are mandatory fields.
• Confirmation of email address (this must be the exact duplicate of the email address).
• Login ID (enter a unique ID to use the eFiling System – the format is that of an email address with no
spaces or special characters).
An email is sent to the email address entered with the system generated password (change this password at any
time in your user profile).
3.3 Manage accounts

3.3.1 Change general account information
Log into the eFiling System. Select your profile on the top right menu bar. You can update all information except
your login ID.
Click here to open your

Profile page.
Select the global notification settings checkboxes to receive an email summarizing registered applications(filing
announcements), notices of application or issuance of dispositions for all eFiling System proceedings.
3.3.2 Change password

The password must be at least six characters and up to 15 characters in length. It may contain alphabetic characters,
numbers and symbols. It must contain at least one symbol.
Select the Change password tab to update your password.
3.3.3 Change your security question

The case-sensitive answer to the security question is used if you forget your password.
3.3.4 Forgot password
If you forget your password, click Forgot password and enter your login ID.
You are prompted to answer your security question. Enter your case-sensitive security answer and click Reset
password to have a new password sent to your email.
If you’ve forgotten your login ID, you can enter your email address. If you’ve forgotten your email address, you
need to contact your organization’s eFiling System administrator or the AUC at info@auc.ab.ca.
4 Proceedings
Applications are filed as part of a proceeding. Within a proceeding you will find:
• applications
• applicants
• application, filing and disposition documents
• directions
• notifications
• registered parties
• schedules
• filings
• related proceedings
This is the overall flow to follow when creating a proceeding
Request a
proceeding
Add/edit
applicant(s)
Complete AUC Rule

Search/add/edit 007/Rule 020 forms
Add additional
related applications (as required)
applications
View and add

application
documents
Register proceeding
12 • eFiling System User Guide – Proceedings (July 2023)

4.1 Request a new proceeding
To request a proceeding:
1. Click Request proceeding on the main menu bar.
2. Enter a description for the proceeding.
3. Select the contacts for your organization.
4. Select whether you are the primary applicant or you are a representative of the applicant.
5. If you select that you are representing the applicant, you will need to provide the organization name of
the primary applicant and contacts for the primary applicant.
6. Click Continue.
Ensure your proceeding description that will stand the test of time.
This description can be updated at any time before being registered in the eFiling System.
5 Applicants
All proceeding applicants must have an active eFiling System user account. You may register in a proceeding as a
primary applicant, a co-applicant or as an official representative of an applicant.
You can then add co-applicants and representatives. You can also assign another applicant as the primary applicant
and make yourself a co-applicant if required. One primary applicant must be entered; co-applicants and
representatives are optional.
The applicant list created for a proceeding applies to all applications until the proceeding is registered. Any
changes made to the applicant list while the proceeding is in draft form apply to all applications in the proceeding.
Only the AUC can change the applicants for specific applications after the proceeding is registered.
eFiling System User Guide - Applicants July 2023) • 13

5.1 Add an applicant
To add an applicant, first select Applicants in the left navigation menu and then click Add applicant.
Step 1: Pick the applicant

In the pop-up box, first pick the applicant using Select applicant.
In the search pop-up box, enter the name (or any letters in the name) of the applicant or organization and click
Search.
Locate the applicant in the list and click Select beside the name.
Step 2: Pick the applicant type
From the drop-down list, select if this is to be the primary applicant, co-applicant or a representative. Only one
primary applicant can be assigned. If you need to change a primary applicant, either set the original primary
14 • eFiling System User Guide – Applicants (July 2023)

applicant type to co-applicant and assign a new primary applicant or add another applicant as primary and both
will be changed to co-applicant.
As a representative of an applicant, you can add additional co-applicants (if an applicant does not exist in the
eFiling System, create a new single user account).
A representative has access to the proceeding and related documents but does not have permission to edit the
account profile. As a representative, you are legally responsible for the accuracy and completeness of this filing
and all supporting technical information.
Step 3: Pick your contacts

A primary contact is required for both organizational and single user applicants. A primary contact, and an optional
secondary contact, must be assigned for an organization. As a single user you are the primary contact.
5.2 View, edit and delete applicants

Before the proceeding is registered, it is in draft form. In draft form the applicant, co-applicant or representative
can change the applicant and contact information. All applicants are connected to all applications, and any changes
to applicant information automatically apply to all applications in the proceeding.
After a proceeding is registered in the eFiling System, only AUC staff assigned to the proceeding can change
applicant information. This includes adding, changing or suspending the applicant and contact information. Any
change to the applicant information affects only the selected application.
To view and edit an applicant

Select the applicant from the list in the Applicants page.
Click the action icon beside a name to either delete the applicant or change the applicant type (primary or co-
applicant or representative).
To change a contact
Click the contact name and select “change contact” in the pop-up box to reassign a contact person.
eFiling System User Guide - Applicants July 2023) • 15

6 Applications
An application can be created either as a new proceeding or as part of an existing draft proceeding. A proceeding
can include one or as many as 999 applications.
Each application must be created separately. As applicant, for each application you need to provide:
• The type of application (required).
• A description of the application (required).
• The applicable legislation and/or AUC rule.
• Additional information requested for Rule 007 applications for electric facilities and for gas utility
pipelines.
Information can be copied between applications in a proceeding (see Clone an application). This is useful if
multiple applications or a series of applications with similar information are submitted as part of a single
proceeding.
If a restricted application type (preferential sharing of records) is selected for the first application, all further
applications created in the proceeding must be restricted as well (see Restricted proceedings).
6.1 Application types

The following application types are organized by application functional group and then by application category.
6.1.1 AUC rule
6.1.1.1 AUC Rule 005
Type Description
Filing date extension Applications requesting approval for an extension to the required date of filing
pursuant to Section 6 of Rule 005: Annual Reporting Requirements of Financial and
Operational Results.
6.1.2 Codes of conduct

6.1.2.1 Code of conduct
Type Description
New compliance plan Applications for a new compliance plan under Section 30 of the Code of Conduct
Regulation.
Varied compliance plan Applications for a varied compliance plan for a distributor with less than 5,000
customers under Section 3 of Rule 030: Compliance with the Code of Conduct
Regulation.
Compliance plan variance Applications for a varied compliance plan for a regulated rate supplier of an
request affiliated provider under Section 3(2) of Rule 030: Compliance with the Code of
Conduct Regulation.
Change to a compliance Applications for a change to a compliance plan under Section 32 of the Code of
plan - minor Conduct Regulation that includes only minor revisions of an administrative nature
that will not impact the public or customers.
Change to a compliance Applications for a change to a compliance plan under Section 32 of the Code of
plan - substantive Conduct Regulation that includes substantive changes.
Section 17 application Application requesting the opinion of the Commission under Section 17 of the
Code of Conduct Regulation.
16 • eFiling System User Guide – Applications (July 2023)

6.1.2.2 Inter-affiliate code
Type Description
Compliance plan Application requesting approval to amend a compliance plan under the inter-
amendment - minor affiliate code of conduct that includes only minor revisions of an administrative
nature that will not impact the public or customers.
Compliance plan Application requesting approval to amend a compliance plan under the inter-
amendment - substantive affiliate code of conduct that includes substantive changes.
Inter-affiliate code of Applications requesting approval for an exemption from any provision of the inter-
conduct exemption affiliate code of conduct.
request
6.1.3 Cost recovery
6.1.3.1 Cost claims
Type Description
Facility local intervener Cost claims for facility application proceedings pursuant to Rule 009: Rules on Local
costs Intervener Costs.
Market Surveillance Cost claims by the Market Surveillance Administrator (MSA) pursuant to Rule 015:
Administrator costs Rules on Costs of Investigations, Hearings, or Other Proceedings Related to
Contraventions.
Need proceeding costs Cost claims for needs identification document application proceedings pursuant to
Rule 009: Rules on Local Intervener Costs or Rule 022: Rules on Intervener Costs in
Utility Rate Proceedings.
Utility rate proceeding Cost claims for rate application proceedings pursuant to Rule 022: Rules on
costs Intervener Costs in Utility Rate Proceedings.
Energy price setting plan Cost claims for energy price setting plan applications pursuant to Rule 022: Rules on
costs Intervener Costs in Utility Rate Proceedings.
6.1.4 Decision reviews

6.1.4.1 Review and variance
Type Description
Cost decision review - Applications for a review relating to a costs decision made under Section 21 or
stage 1 Section 22 of the Alberta Utilities Commission Act.
Cost decision review - Reviews that have been granted by the Commission through a stage 1 application
stage 2 relating to a costs decision made under Section 21 or Section 22 of the Alberta
Utilities Commission Act.
Electric utility tariff Applications for review of a decision approving a tariff under the Electric Utilities Act
decision review - stage 1 by a person affected by the decision.
Electric utility tariff Reviews that have been granted by the Commission through a stage 1 application of
decision review - stage 2 a decision approving a tariff under the Electric Utilities Act by a person affected by
the decision.
Facility decision review - Applications for review of a decision relating to a hydro development, power plant,
stage 1 transmission line or gas utility pipeline.
Facility decision review - Hearing to consider whether to vary a decision of the Commission relating to a
stage 2 hydro development, power plant, transmission line or gas utility pipeline.
Gas utility rates decision Applications for review of a decision fixing rates, tolls or charges for a gas utility,
review - stage 1 under Section 36 of the Gas Utilities Act.
eFiling System User Guide - Applications July 2023) • 17

Type Description
Gas utility rates decision Hearing to consider whether to vary a decision of the Commission relating to fixing
review - stage 2 rates, tolls or charges for a gas utility, under Section 36 of the Gas Utilities Act.
Independent system Applications for review of a decision relating to the independent system operator
operator decision review
- stage 1
Independent system Hearing to consider whether to vary a decision of the Commission relating to the
operator decision review independent system operator.
- stage 2
MSA decision review - Applications for review of a decision relating to the MSA.
stage 1
MSA decision review - Hearing to consider whether to vary a decision of the Commission relating to the
stage 2 MSA.
Needs decision review - Applications for review of a decision on a needs identification document.
stage 1
Needs decision review - Hearing to consider whether to vary a decision of the Commission relating to a
stage 2 needs identification document.
Preferential sharing of Applications for review of a decision relating to preferential sharing of records.
records decision review -
stage 1
Preferential sharing of Hearing to consider whether to vary a decision of the Commission relating to
records decision review - preferential sharing of records.
stage 2
Reliability standards Applications for review of a decision relating to reliability standards.
decision review - stage 1
Reliability standards Hearing to consider whether to vary a decision of the Commission relating to
decision review - stage 2 reliability standards.
Water utility rates Applications for review of a decision fixing rates, tolls or charges for a water utility,
decision review - stage 1 under the Public Utilities Act by a person affected by the decision.
Water utility rates Hearing to consider whether to vary a decision of the Commission relating to fixing
decision review - stage 2 rates, tolls or charges for a water utility, under the Public Utilities Act by a person
affected by the decision.
Generic - stage 1 Applications for review of a decision of the Commission respecting a generic
proceeding.
Generic - stage 2 Hearing to consider whether to vary a decision of the Commission respecting a
generic proceeding.
Miscellaneous - stage 1 Applications for review of a decision respecting a miscellaneous issue.
Miscellaneous - stage 2 Hearing to consider whether to vary a decision of the Commission respecting a
miscellaneous issue.
6.1.5 Designated public utilities

6.1.5.1 Financing
Type Description
Equity or debt issuance Applications requesting approval to issue shares, stock or bonds, or other evidences
of indebtedness under Section 101(2)(a) of the Public Utilities Act or Section 26(2)(a)
of the Gas Utilities Act.

6.1.5.2 Property franchises
Type Description
Disposition encumbrance Applications requesting approval of matters under Section 101(2)(d) of the Public
merger Utilities Act or Section 26(2)(d) of the Gas Utilities Act.
6.1.6 Emergency management

6.1.6.1 Emergency response
Type Description
Utility payment deferral Electric utility payment deferral rate rider applications pursuant to the Utility
rate rider – electric Payment Deferral Program Act and Regulation.
Utility payment deferral Gas utility payment deferral rate rider applications pursuant to the Utility Payment
rate rider – gas Deferral Program Act and Regulation.
6.1.7 Electric and gas distribution

6.1.7.1 Electric distribution
Type Description
Franchise agreement and Applications seeking approval of an agreement (new, amended or renewed) that
franchise fee rate rider grants a right to provide a utility service in a municipality and the initial franchise fee
associated with the agreement.
Franchise fee rate rider Applications seeking approval of rate riders used by a public utility to collect
franchise fees pursuant to agreements with municipalities to provide utility services
in the municipality.
General tariff application Requests for approval of a revenue requirement under rate-of-return regulation
- phase 1 (phase 1). Could include interim rate requests, rate riders, terms and conditions if
applicant prefers to include here rather than separate. Includes compliance
applications.
General tariff application Requests for approval of cost allocations and rates to recover revenue requirements
- phase 2 (phase 2). Could include interim rate requests, rate riders, terms and conditions if
applications.
Interim rates Applications requesting approval of interim rates prior to final rates being approved.
This application type also includes any compliance applications filed in response to
the foregoing matters.
Miscellaneous Applications on any other matter not covered under one of the other application
types in the electric distribution application category.
Negotiation request Applications requesting approval to commence negotiations pursuant to Rule 018:
Rules on Negotiated Settlements.
Performance-based Annual applications requesting approval of proposed rate adjustments to be
regulation - annual rate effective on January 1 of the upcoming year.
adjustment
Performance-based Applications requesting approval to fund certain capital-related costs through a
regulation - K factor capital factor. This application type also includes any compliance applications filed in
response to the foregoing matter.
Performance-based Applications on any performance-based regulation matter not covered under one of
regulation - the other performance-based regulation application types in the electric distribution
miscellaneous application category.

Type Description
Performance-based Applications requesting approval to collect certain costs through a Y factor. This
regulation - Y factor application type also includes any compliance applications filed in response to the
foregoing matter.
Performance-based Applications requesting approval of an exogenous event to be treated as a Z factor.
regulation - Z factor This application type also includes any compliance applications filed in response to
the foregoing matter.
Performance-based Applications requesting approval of performance-based regulation plans. This
regulation plans application type also includes any compliance applications filed in response to the
foregoing matters.
Rate riders Applications requesting approval of a rate rider including balancing pool rider,
transmission charge deferral account rider or any other special riders.
Tariff for information Applications pursuant to Section 6 of the Distribution Tariff Regulation whereby an
owner of an electric distribution system must provide a copy of its distribution tariff
to the Commission for information if the Commission is not the relevant regulatory
authority.
Terms and conditions of Applications requesting approval of terms and conditions of service. This application
service type also includes any compliance applications filed in response to the foregoing
matters.
6.1.7.2 Gas distribution

Type Description
Franchise agreement and Applications seeking approval of an agreement (new, amended or renewed) that
franchise fee rate rider grants a right to provide a utility service in a municipality and the initial franchise fee
associated with the agreement.
Franchise fee rate rider Applications seeking approval of rate riders used by a public utility to collect
franchise fees pursuant to agreements with municipalities to provide utility services
in the municipality.
General rate application - Requests for approval of a revenue requirement under rate-of-return regulation
phase 1 (phase 1). Could include interim rate requests, rate riders and terms and conditions
if applicant prefers to include here rather than separate. Includes compliance
applications.
General rate application - Requests for approval of cost allocations and rates to recover revenue requirements
applications.
types in the gas distribution application category.
Performance-based Annual applications requesting approval of proposed rate adjustments to be
regulation - annual rate effective on January 1 of the upcoming year.
adjustment
Performance-based Applications requesting approval to fund certain capital-related costs through a
regulation - K factor capital factor. This application type also includes any compliance applications filed in
response to the foregoing matter.
Performance-based Applications on any performance-based regulation matter not covered under one of
regulation - the other performance-based regulation application types in the gas distribution
miscellaneous application category.

Type Description
Performance-based Applications requesting approval to collect certain costs through a Y factor. This
regulation - Y factor application type also includes any compliance applications filed in response to the
foregoing matter.
Performance-based Applications requesting approval of an exogenous event to be treated as a Z factor.
regulation - Z factor This application type also includes any compliance applications filed in response to
the foregoing matter.
foregoing matters.
Rate riders Applications requesting approval of a rate rider including load balance deferral
account riders, transmission service charge riders, weather deferral account riders
or other special rate riders. This application type also includes any compliance
applications.
Tariff for information Applications to submit a schedule of rates, tolls and charges for rural gas
co-operative associations or municipal gas utilities under Section 30 of the
Gas Distribution Act.
matters.
6.1.8 Electric and gas transmission

6.1.8.1 Electric transmission
Type Description
General tariff application Requests by a transmission facility owner or the Alberta Electric System Operator for
revenue requirement approval (phase 1) or cost allocations\rates (phase 2). Could
include interim rates, rate riders and terms and conditions if applicant prefers to
include here rather than separate. Includes compliance applications.
Miscellaneous Applications from transmission facility owners or the Alberta Electric System
Operator on any other matter not covered under one of the other application types
in the electric transmission application category.
Negotiation request Applications requesting approval to commence negotiations under Rule 018: Rules
on Negotiated Settlements.
Performance based Applications requesting approval of performance-based regulation plans. This
foregoing matters.
Rate riders Applications requesting approval of a rate rider.
Terms and conditions of Applications requesting approval of terms and conditions of service by transmission
service by transmission facility owners.
facility owners
Terms and conditions of Applications requesting approval of terms and conditions of service by the Alberta
service by the Alberta Electric System Operator.
Electric System Operator

6.1.8.2 Gas transmission
Type Description
General rate application - Requests for approval of a revenue requirement under rate-of-return regulation
applications.
General rate application - Requests for approval of cost allocations and rates to recover revenue requirements
applications.
types in the gas transmission application category.
Negotiation Applications requesting approval to commence negotiations pursuant to Rule 018:
foregoing matters.
Rate riders Applications requesting approval of a rate rider. Includes any compliance
applications.
6.1.9 Electric facilities

6.1.9.1 Complaints
Type Description
Electric facility complaint Complaints related to electric facilities.
6.1.9.2 Distribution facilities, areas and boundaries

Type Description
Distribution enquiry Proposals for minor alterations to existing electric distribution facilities.
proposal
Rural electrification Applications for changes to the rural electrification association boundaries,
association amalgamations and sale and transfer to utilities.
Service area Applications for the area in which an electric distribution system may distribute
electric energy.
6.1.9.3 Industrial system designations

Type Description
Industrial system Applications for designation of the whole or any part of an electric system as an
designation industrial system (where the system is primarily intended to serve one or more
industrial operations and meets criteria outlined in Section 4 of the Hydro & Electric
Energy Act.
Industrial system Applications by owners/holders of an industrial system designation for the
designation connection of its works with other works or proposed works.
interconnection

Type Description
Industrial system Applications for approval to sell, transfer or otherwise change the ownership of
designation ownership assets designated to be part of an industrial system.
change
6.1.9.4 Micro-generation
Type Description
Cost disputes Applications to the AUC to rule on the applicability of additional utility costs to serve
a micro-generation site under the Micro-Generation Regulation and Rule 024: Rules
Respecting Micro-Generation.
Definition disputes Applications to the AUC to rule on the definition of a micro-generation customer.
Meter disputes Applications to the AUC to rule on the designation of the meter type to be provided
under the Micro-Generation Regulation.
Other disputes Applications submitted to make a decision about disputes not outlined within the
Micro-Generation Regulation.
6.1.9.5 Need identification

Type Description
Needs identification Applications by the Alberta Electric System Operator for the approval of a needs
document identification document.
Needs stipulation A request for a time extension for the needs identification document approval
where the construction, alteration, or connection of a transmission project, by a
transmission facility owner, is not expected to be completed by the previously
approved date.
6.1.9.6 Power generation

Type Description
Hydro development Applications to construct and/or operate a hydro development under the Hydro and
Electric Energy Act.
Power plant Applications for the construction, operation or alteration of power generation and
associated facilities from any energy source including wind or solar.
Power plant enquiry Proposals for minor alterations to existing electric power plant facilities.
proposal
Power plant exemption Applications for exemption from Section 11 of the Hydro and Electric Energy Act.
Power plant Applications by owners or operators of a power plant for the connection of its works
interconnection with other works or proposed works.
Power plant ownership Applications for approval to sell, transfer or otherwise change the ownership of
changes power plant assets.
Power plant stipulation A request for approval of a time extension for the construction, alteration or
connection of a power plant, under Section 19 of the Hydro and Electric Energy Act.
6.1.9.7 Transmission lines and substations

Type Description
Substation Applications for a part of a transmission line that is not a transmission circuit and
includes equipment for transforming, compensating, switching, rectifying or
inverting electric energy flowing to, over or from the transmission line.
Transmission enquiry Proposals for minor alterations to existing electric transmission facilities.
proposal
Transmission Applications by owners or operators of a transmission line or substation for the
Interconnection connection of its works with other works or proposed works.

Type Description
Transmission line Applications for a system of lines of wire or other conductors whereby electric
energy is transmitted in bulk (transmission circuits, insulating and supporting
structures, operational and control devices and all property).
Transmission ownership Applications for approval to transfer or change the ownership of electric
changes transmission assets pursuant to Section 19 of the Hydro and Electric Energy Act.
Transmission stipulation A request for approval of a time extension for the completion of construction,
alteration or connection of an electric transmission line or substation under
Section 19 of the Hydro and Electric Energy Act.
6.1.10 Enforcement
6.1.10.1 Enforcement
Type Description
Enforcement – Facilities Facility applications requesting a hearing or other proceeding respecting failure to
comply with any legislation under the Commission's jurisdiction or a Commission
decision, order or rule.
Enforcement – Rates Facility applications requesting a hearing or other proceeding respecting failure to
comply with any legislation under the Commission's jurisdiction or a Commission
decision, order or rule.
6.1.10.2 Notices of dispute
Type Description
Notice of dispute of AUC Notice by a person named in an AUC notice of specified penalty disputing the
notice of specified issuance of the specified penalty, pursuant to Section 63.1(2)(b) of the Alberta
penalty Utilities Commission Act.
Notice of dispute of MSA Notice by the MSA that a person named in a MSA notice of specified penalty
notice of specified disputes the issuance of the specified penalty, pursuant to Section 52(2)(b) of the
penalty Alberta Utilities Commission Act.
6.1.11 Gas facilities

6.1.11.1 Complaints
Type Description
Gas facility complaint Complaints related to gas facilities.
6.1.11.2 Pipelines
Type Description
Pipeline - amendment Applications for amendments and additions to existing gas utility pipeline licences,
under the Gas Utilities Act and the Pipeline Act.
Pipeline - installation Applications for amendments and additions of installations (i.e. compressors) on
amendment existing gas utility pipeline licences, under the Gas Utilities Act and the Pipeline Act.
Pipeline installation - new Applications for new installations on new gas utility pipeline licences (i.e.
compressors), under the Gas Utilities Act and the Pipeline Act.
Pipeline - new Applications for new gas utility pipeline licence under the Gas Utilities Act and the
Pipeline Act.

Type Description
Pipeline - test medium Applications for approval to test a pipeline using test medium other than fresh
water, under sections 35 or 36 of the Pipeline Rules.
Pipeline - transfer Applications for name changes, amalgamations and transfers of gas utility pipelines.
6.1.12 Market oversight

6.1.12.1 Electricity and gas markets
Type Description
Electricity market Other miscellaneous applications related to electricity market matters.
Wholesale natural gas Applications related to the wholesale natural gas markets.
market
6.1.12.2 Independent system operator

Type Description
Independent system Written complaints pursuant to Section 26(1) of the Electric Utilities Act about the
operator complaint conduct of the independent system operator.
6.1.12.3 Independent system operator rules

Type Description
Expedited independent Filings pursuant to Section 20.6(2)(b) of the Electric Utilities Act and Rule 017:
system operator rule – Procedures and Process for Developing Independent System Operator Rules for
non-urgent expedited new, expedited amendments or expedited removal of independent
system operator rules for purposes that do not affect the reliable supply of
electricity or the safe and reliable operation of the interconnected electric system.
Expedited independent Filings pursuant to Section 20.6(2)(a) of the Electric Utilities Act and Rule 017:
system operator rule – Procedures and Process for Developing Independent System Operator Rules for
urgent expedited new, expedited amendments or expedited removal of independent
system operator rules that are urgent and affects the reliable supply of electricity or
the safe and reliable operation of the interconnected electric system.
Independent system Filings pursuant to Subsection 20.6(1) of the Electric Utilities Act, and Section 12 of
operator rule – Rule 017: Procedures and Process Development of ISO Rules and Filing of ISO Rules
administrative with the Alberta Utilities Commission for an administrative amendment to an ISO
amendment rule.
Independent system Pursuant to Section 25 of the Electric Utilities Act, written complaints by market
operator rule complaint participants about an independent system operator rule that is in effect or an
independent system operator fee.
Provisional independent Filings pursuant to Section 20.2, Section 20.22, and Section 41.42 of the Electric
system operator rule Utilities Act and Rule 017: Procedures and Process for Developing Independent
System Operator Rules for independent system operator rules considered essential
to establish and for operation of the capacity market.
Standard independent Filings pursuant to Section 20.2 of the Electric Utilities Act and Rule 017: Procedures
system operator rule and Process for Developing Independent System Operator Rules with the Alberta
amendment Utilities Commission for amendments to independent system operator rules.
system operator rule new and Process for Developing Independent System Operator Rules for new
independent system operator rules.
system operator rule and Process for Developing Independent System Operator Rules for removal of
removal independent system operator rules.

Type Description
Rule compliance Filings required by the AUC, for directed changes to an independent system
operator rule, or the provision of it, under Section 20.21(1)(b) or Section 25(6)(e) of
the Electric Utilities Act.
6.1.12.4 Market Surveillance Administrator

Type Description
Administrative notice A notice filed by the MSA pursuant to Section 51 of the Alberta Utilities Commission
Act requesting a hearing or proceeding respecting a contravention.
MSA complaint Written complaints pursuant to Section 58 of the Alberta Utilities Commission Act
about the conduct of the MSA.
Specified penalty notice A notice filed by the MSA pursuant to Section 52 of the Alberta Utilities Commission
Act requesting a hearing or proceeding for a contravention of an independent
system operator rule for which a penalty has been specified.
6.1.12.5 Records sharing

Type Description
Preferential sharing of Preferential sharing of records applications pursuant to Section 3 of the
records Fair, Efficient and Open Competition Regulation.
6.1.12.6 Reliability standards

Type Description
Amendments for Filings pursuant to Section 19(4) of the Transmission Regulation to amend,
approval supplement or replace reliability standards, agreements, criteria or directives with
the independent system operator's recommendation that the Commission approve.
Amendments for Filings pursuant to Section 19(4) of the Transmission Regulation to amend,
rejection supplement or replace reliability standards, agreements, criteria or directives with
the independent system operator's recommendation that the Commission reject.
New reliability standards Filings pursuant to Section 19(4) of the Transmission Regulation for new reliability
for approval standards, agreements, criteria or directives with the independent system
operator's recommendation that the Commission approve.
New reliability standards Filings pursuant to Section 19(4) of the Transmission Regulation for new reliability
for rejection standards, agreements, criteria or directives with the independent system
operator's recommendation that the Commission reject.
Objections to Filings by market participants pursuant to Section 19(6) of the
amendments Transmission Regulation objecting to amendments, supplements or replacement of
existing reliability standards, agreements, criteria or directives.
Objections to new Filings by market participants pursuant to Section 19(6) of the
reliability standards Transmission Regulation objecting to new reliability standards, agreements, criteria
or directives.
Objections to removal of Filings by market participants pursuant to Section 19(6) of the
reliability standards Transmission Regulation objecting to the removal of reliability standards,
agreements, criteria or directives.
Reliability standard Filings pursuant to an order of the Commission directing changes to a reliability
compliance standard or a provision of a reliability standard.
Removal of reliability Filings pursuant to Section 19(4) of the Transmission Regulation for removal of
standards for approval existing reliability standards, agreements, criteria or directives with the independent
system operator's recommendation that the Commission approve.

Type Description
Removal of reliability Filings pursuant to Section 19(4) of the Transmission Regulation for removal of
standards for rejection existing reliability standards, agreements, criteria or directives with the independent
system operator's recommendation that the Commission reject.
6.1.13 Retail Energy

6.1.13.1 Complaints
Type Description
Complaints and appeals Complaints or appeals filed under the Municipal Government Act, Distribution Tariff
Regulation, Gas Distribution Act or Natural Gas Billing Regulation. This also includes
any other complaints which are not related to market oversight.
6.1.13.2 Electric retail

Type Description
Energy charges Applications with respect to monthly electricity charges.
types in the electric retail application category.
Other rates Applications seeking approval of non-energy related costs and associated rates. This
application type also includes any compliance applications filed in response to the
foregoing matters.
Rate riders Applications requesting approval of a special rate rider. This application type also
includes any compliance applications filed in response to the foregoing matters.
matters.
6.1.13.3 Gas retail

Type Description
Energy charges Applications with respect to monthly gas charges.
types in the gas retail application category.
Other rates Applications seeking approval of non-energy related costs and associated rates. This
application type also includes any compliance applications filed in response to the
foregoing matters.
Rate riders Applications requesting approval of a special rate rider. This application type also
includes any compliance applications filed in response to the foregoing matters.
matters.

6.1.14 Share transfer
6.1.14.1 Prohibited share transaction
Type Description
Sell or transfer of capital Applications requesting approval to sell or transfer capital stock to a corporation
stock under Section 102 of the Public Utilities Act or Section 27 of the Gas Utilities Act.
6.1.15 Utility supply agreements

6.1.15.1 Municipal Government Act
Type Description
Supply agreement Applications seeking approval of proposed agreements for the supply of: water,
steam or fuel by a council to a public utility; or electric power by a council or a
municipal public utility, under Section 30 of the Municipal Government Act.
6.1.15.2 Water
Type Description
General rate application Requests for revenue requirement approval (phase 1) or cost allocations\rates
(phase 2). Could include interim rates, rate riders, terms and conditions of service if
applications. Excludes Rule 011: Rate Application Process for Water Utilities.
Miscellaneous Applications associated with interim rate requests, rate riders, terms and conditions,
requests to negotiate or any other matter related to water utilities that is not
covered under one of the other application types in the water application category.
Rule 011: Rate Applications by small investor-owned water utilities to establish rates as outlined in
Application Process for Rule 011: Rate Application Process for Water Utilities.
Water Utilities
6.2 Add an application

To add an application to a proceeding, select Applications in the left navigation menu and click Add application on
the Applications page.
6.2.1 Choose the application type

Select the application type and click Select to open the main application form.
(Use the functional group and/or category filters to narrow the application search. You can also enter text to
search directly.)

6.2.2 Add general application information
Field Description
The application functional group, category and type selected are shown first.
Application As applicant, enter a description of what the application is for. An example is: “Transmission line
description 7L123 upgrade project to provide service to an industrial complex – Application A or Interim TFO
(required) Tariff for May 2014.” (100-character length maximum).

Field Description
Contact Enter the applicant contact information for the individual that will be referred to in the AUC
information notice of application.
Legislation From the drop-down list select the legislation and the AUC rule that you are applying under. This
and will be used in the filing announcement.
AUC rule
Region
Select the geographic region from the drop-down list or select the map icon to view a map
of the province of Alberta to select the region that the application falls into. Select Add region for
applications that transcend multiple regions.

Field Description
Applicant’s Enter your own file reference number (32-character length).
reference
number
6.2.3 Error checking

Application forms must be correctly completed. If errors are found, the message is shown at the bottom of the
form:
All errors must be resolved before a user can click Save to save the application.
Your application is created and the application number is shown on the Applications page. You can now upload
documents for your application (see Add application documents).
6.2.4 Expedited applications

The AUC has adopted a trusted traveller approach for specific application types. These applications are eligible for
an expedited approval based on input by the applicant into a standard application form. A disposition is
automatically created that can be efficiently approved. Processing times for expedited applications are significantly
reduced.
Expedited applications include:

• Electric distribution, franchise fee and franchise rate rider.
• Gas distribution, franchise fee and franchise rate rider.
• Independent system operator rules, Independent system operator rule administrative amendment.

A message on the form will indicate if the input has qualified the application for an expedited process.
6.3 View and edit applications

As an applicant, co-applicant or representative for an applicant, you can update applications at any time while the
proceeding is in draft form before it is registered in the eFiling System.
This includes:
• Changing the document category and type.
• Modifying the document description.
• Removing or adding an association to an application.
• Updating or deleting supporting documents.
Before an application is registered, only the proceeding applicants and their representatives can view and update
proceeding and application information.

Once an application is registered as part of a proceeding:
• The application can no longer be edited but new supporting documents can be added.
• Revisions to registered application or filing documents may be submitted.
• Proceeding information and supporting documents can be searched and viewed by all users with an
eFiling System account.
• The proceeding is open to the registration of interested parties who can then make filings.
After an application is registered and before a final decision is issued, only AUC staff assigned to the proceeding
can update the correct misclassified documents or update document descriptions that may be insufficient or
require correction.
Applications can be accessed on the Proceeding home or the Applications page.

Proceeding home page
Applications page
Select the application to edit in the Application details page and click Edit application form.
Make changes and click Save.

6.4 Clone an application
It is useful to clone an application when a series of applications with similar information are to be submitted to the
AUC as a single proceeding.
To clone an application, click the action icon beside the application on the main Applications page.
Make required changes and then click Save. A new application number is assigned.
6.5 Delete an application

While a proceeding is in draft form applicants, co-applicants or representatives can delete an application. Once an
application for a proceeding is registered, it cannot be deleted.
All application information is deleted including:

• applicant information
• documents unique to the application
• any relationship to other supporting documents
• Rule 007 forms (if applicable)
To delete an application, select Delete application on the Application details page.

7 Application documents
Documents can be uploaded at any time by an applicant, co-applicant or representative:
• While the proceeding is in draft form (before it is registered).
• After it is registered and before the final decision is issued.
Documents can be associated to one or many applications in the same proceeding.
All application documents must be one of the following document format types:
• Adobe: .pdf (It is important that .pdf files be in searchable format *)
• Microsoft Office: .docx, .xlsx, .pptx, .vsdx, .msg
• Images: .jpg, .jpeg, .png and .gif
The maximum file size is 50 MB per file
• .zip and .csv (pipeline applications only) or 100 MB for revisions.
*It is important that scanned documents be in a searchable form; a scanned page is an image and cannot be
searched for specific words. Optical character recognition (OCR) converts the contents of a file to a searchable
format to provide accurate output in the eFiling System search results.
Most printers have a simple scanning option to run OCR on documents. If the OCR option is not available on
your printer you should use Adobe Acrobat to scan the document. Instructions on how to use Adobe Acrobat to
scan documents are available in Appendix 1: Scanned documents.
The ten most recent documents for a proceeding are listed on the Proceeding home page on the Documents tab
under Recent activity.
eFiling System User Guide - Application documents July 2023) • 35

7.1 Application document types
7.1.1 Application and support
Document type Description
Affiliates list A list of the applicant's affiliates who are pool participants, the agent and agent's
affiliates who are pool participants.
Appendix Supplementary material in support of the application usually of an explanatory,
statistical or bibliographic nature.
Application Information required by an AUC rule for an application (or if no rule exists, a
description of the approval, order or relief applied for, grounds on which the
application is made, and references to the statutory provision under which the
application is made).
Application form Applicant general information form and other forms related to AUC rules.
Comparison of A comparison of the Alberta reliability standard to the North American Electric
independent system Reliability Corporation reliability standard.
operator documents
Complaint Written complaints about the conduct of the independent system operator or MSA
or other letters of discontent expressing resentment or fault-finding pertaining to
utilities.
Correspondence Letters or other records of communication between parties.
Curriculum vitae A synopsis of one's education, experience and professional qualifications.
Draft independent system A copy of the draft independent system operator rule for proposed new rules,
operator rule amendments to existing rules or removal of existing independent system operator
rules.
Draft standard A copy of the draft reliability standard for proposed new standards, amendments to
existing standards or removal of existing standards.
Graph A line chart, plot, chart or diagram depicting the relationship between two or more
variables.
Initiative document Documentation describing a proceeding, inquiry or some other sort of initiative
started by the AUC.
Notice of dispute Pursuant to Section 2(2) of the Micro-generation Regulation, a notice of dispute over
costs.
Schedule A written statement of details often classified in tabular form that is an explanatory
addition to another document. A schedule is usually submitted to support financial
information contained in an application.
Study Reports containing research or detailed examination of a subject. Examples include
depreciation studies or cost of service studies.
Summary A document that contains previously stated facts or statements in a comprehensive
yet brief and concise manner. Examples include cost summaries, independent
system operator rule summaries, issue summaries and comment summaries.
7.1.2 Authorization
Independent system Letter by the independent system operator directing a transmission facility owner to
operator direction letter submit an application to the AUC to meet an identified need.
Agreement Documents signed by two or more persons containing terms which will govern the
signatories. Examples include franchise agreements, crossing agreements, rural
electrification association agreements or sharing of records agreements.
Alberta Infrastructure Ministerial consent from Alberta Infrastructure for activities by the applicant that
consent cause a surface disturbance in the Calgary and Edmonton transportation and utility
corridors.
Alberta Transportation An approval issued by Alberta Transportation for structures located within close
approval proximity of a numbered highway or intersection.
36 • eFiling System User Guide – Application documents (July 2023)

Building permit A permit issued by the municipality for approval of construction plans.
Connection consent A written statement from the distribution facility owner indicating that it is willing to
connect.
Contract A binding agreement that is initialed or signed between two or more parties for the
action specified in the contract.
Development permit Confirmation that the applicant has applied for a development permit from the
appropriate municipal district or county.
Municipal by-law A municipal bylaw pursuant to the Municipal Government Act with respect to an
agreement between a utility and municipality.
Navigation Canada Copy of evaluation(s) from Navigation Canada for wind turbine blades.
evaluation
Transport Canada Copy of approval(s) issued by Transport Canada for wind turbines.
approval
7.1.3 Consultation
Mailing list A list of addresses for all owners, occupants and residents on lands within the
project area as well as other interested parties contacted as a result of a participant
involvement program.
Non-objection Documents confirming: (a) no objections to a proposed gas utility pipeline
confirmation development such as free-hold lease agreements or crown dispositions; (b) non-
objections to proposed standards or draft rules; and (c) resolution of concerns or
objections to facility applications.
Notice A document that notifies potentially affected parties about the filing of an
application, outlines the nature of the application and solicits objections or support
for the application from interested parties.
Notification program Details of participant involvement programs or a statement that the applicant has
conducted the public notification and involvement program as detailed in AUC rules
and that there are no public objections and/or concerns.
Objection A record and explanation of any concerns or objections received and documentation
confirming the resolution of any concerns or objections.
Open house Notices, announcements, media communications, invitations, event details,
documentation attendees and reports respecting open houses.
7.1.4 Design
Air photo mosaics An aerial representation of a proposed transmission line route(s) showing the
residences, landowner names, and major land-use and resource features.
Diagram A figure usually consisting of a line drawing that outlines and explains the parts or
operations of a facility. Examples include electric single line diagrams,
interconnection point diagrams or process flow diagrams.
Drawing A graphical representation in the form of a sketch, plan or design. Examples include
construction drawings of pipeline routes or plant site drawings.
Map A symbolic visual representation of the features of an area. Examples include base
plan maps, project area boundary maps, distribution area maps, franchise maps and
route maps.
Plan A drawing made to scale to represent the top view of a structure or area. Examples
include a plot plan or site plan.

7.1.5 Technical
Digital spatial data A digital representation of pipeline location data (as start and end points) in a GIS
ESRI-based shapefile format. This shapefile vector storage format will contain the
shape and attributes of geographic features stored as files (i.e. .shp, .shx, .dbf, and .prj
files), all of which will be contained in a single .zip file.
Environmental Documents for assessment of the possible effects that a proposed project may have
on the environment. Examples include environmental impact assessments, studies,
conservation and reclamation plans and air emissions modeling.
Functional specification Documents that describe the essential technical requirements for materials or
services including procedures provided by the independent system operator.
Pipeline other Supporting documents for a gas utility pipeline application. Examples include
corrosion mitigation and monitoring plans and leak detection procedures.
Pipeline specification The pipeline data file in .csv format (comma-separated values). The fields of data in
data each row of the file should be delimited (separated) by a comma and individual rows
separated by a new line (character used to represent the end of a line of text).
Noise Documents for assessment of the possible noise effects of a facility on its
environment. Examples include noise impact assessments and forms (as per the
requirements set out in Rule 012: Noise Control.
Short circuit calculations Short circuit levels at substations near the proposed power plant connection.
Supply transmission Amount of supply transmission service that the applicant would contract for with
service the independent system operator for the proposed generator.
System performance Documents detailing results of studies on system performance such as load flow,
studies stability, reactive and dynamic studies.
7.2 Add application documents

Application documents are uploaded on the Applications details page. Select the application on the Applications
page.
On the Application details page, select Upload document. This button is only shown if you are the applicant,
co-applicant or representative with permission to add documents to the proceeding.

When uploading public files, the user is prompted to acknowledge and agree to the AUC privacy policy.
Before you can upload any files you must first agree to the AUC privacy policy.
Uploading documents for the proceeding is a two-step procedure.
Step 1: Select the files to upload
Select the Add more files button to open the file explorer window. Individual file sizes cannot exceed 50 MB.
Revisions can be up to 100 MB.

Navigate to the file directory. Depending on the browser version you are using you will either click on the file name
(use the Ctrl key to select multplie files) or hover over the file name and click the checkbox that appears to the left
of the file name. Select the Open button.
Select Continue to step 2.
Step 2 – Set document type, applications and description for each file

Select
if the selected documents will be applied to all applications in
the proceeding.
Select
if you would like to populate
the description field for all files with the file name.
For each document, you must select the type of document. Use the filter fields to narrow the list of types shown.
Enter a description of the file that will stand the test of time; for example, “Pine test org – Appendix for substation,
Nov. 4, 2014”.

Click Upload document(s) at the end of step 2 to load the documents to the eFiling System. (This button is only
active when all required upload information has been entered.)
7.3 View and edit application documents

Prior to registration, as an applicant you can add additional documents, delete a document, change the application
that a document is associated to and, change the document type and description.
Select the document(s) to modify either on the Application documents tab of the Application detail page.
Click the action icon beside the document you wanty to modify.

7.3.1 Associate to direction
Select “Associate to direction” in the Actions pop-up box. On the Select direction(s) to associate document to page,
select one or more directions.
7.3.2 Change application association
Select “change application association” in the Actions pop-up box. On the Choose application(s) page, select or
clear the checkboxes next to the applications to associate the document to.
7.3.3 Change document type

Select “change document type” in the Actions pop-up box. On the Choose document type page, select the new
document type.
7.4 Add or remove documents

After a proceeding is registered an applicant, co-applicant or representative can upload new documents and attach
them to an application.

To remove (void or withdraw) a document or replace a document for applications or filings, contact the AUC.
When documents are voided or withdrawn by the AUC, the information about the document is still visible by using
the document status filter but the link to the actual document will be disabled.
The AUC
contact for a
proceeding is
shown on the
Proceeding
home page.
7.5 Download documents

As an applicant, co-applicant or representative, you can compress documents using a .zip file format and download
them to a folder on your computer. You can then work with this information when you are not connected to the
eFiling System. Applicants can download files both while a proceeding is in draft form and any participant can
download files after an application is registered.
Documents for a restricted proceeding are only available for download by those registered parties that have been
granted access. Please submit a request to the AUC at info@auc.ab.ca for access to any restricted documents.
To download documents
On the Documents page, select the files you would like to download by checking the box to the left of the file
name or check All and then select the Zip and download button.
Select Document index to

download the index without the
associated files.
The zip file is created. Click to Download now.
You are prompted to open or save the .zip file in a dialogue at the bottom of the page. You can:
• open the .zip file – Proceeding index

• save the index in the download folder
• save as to a different location and/or with a different name
• save in the download folder and open the index
The .zip file lists the documents that have been compressed and downloaded plus an index.html file. The .zip file
name is the proceeding number and date/time the .zip file was created in the format of
#####_YYYYMMDD_HHMM a.m./p.m.
Click Unzip to load the files into the chosen folder.

When documents are downloaded through the zip and download functionality, the exhibit number has been added to
precede the file name. This change will facilitate the quick display of exhibits during a hearing when multiple documents
are open and when the windows are minimized. The convention is now as follows:
Proceeding ID_Exhibit number_File name_Document ID.file format

Example with an exhibit number: 22361_X0010_Acknowledgementletter_0017.docx
Example without an exhibit number: 22361_[ ]_NoticeofApplication_0125.pdf
Double click the index file to open up a table that provides links to each document with information such as exhibit
number, registered party and document description for each file.

8 Related proceedings
Related proceedings are those that have links to the current proceeding; for example, between development
phase 1, phase 2 and phase 3 of a transmission line project. The relationship provides a link between the
proceedings, but each proceeding’s information is independent. The AUC will link related proceedings. Proceedings
that are directly related to the current proceeding will show in the Related proceedings section. Proceedings that
are linked to related proceedings of the current proceedings are shown in the Descendant proceedings section.
As an applicant, co-applicant or representative, you cannot relate proceedings. Requests to have proceedings
linked can be directed to the lead application officer (LAO) of the proceedings. Restricted proceedings
As legislated in the Fair, Efficient and Open Competition Regulation that came into effect September 1, 2009, the
Market Oversight and Enforcement Division accepts commercially sensitive applications for preferential sharing of
records (PSR) by market participants and can limit proceeding access to a restricted set of participants.
46 • eFiling System User Guide – Related proceedings (July 2023)

By default, the applicant, the Market Surveillance Administrator and the AUC are added as participants to a
participant list that identifies the organizations and single users that can register to participate or represent a
client in a restricted proceeding.
If a PSR application is selected as the first application, all further applications in the proceeding are also restricted
to PSR applications.
If a proceeding is restricted, some documents for the application may be marked as restricted and can only be
viewed and edited by registered participants and AUC staff assigned to the proceeding. These documents cannot
be selected for download. Please submit a request to the AUC at info@auc.ab.ca to zip any restricted documents.
The eFiling System users not on this list can still register to subscribe as an observer to the following public
information about a restricted proceeding:
• filing announcement
• notice of application
• decision
9 Register a proceeding
The following required information is validated before a proceeding can be registered in the eFiling System:
• proceeding and application description
• primary applicant name
• primary contact
• application description
• application category and type
• Rule 007/Rule 020 forms (if required)
The proceeding number is generated when the proceeding is first requested. All applications for multi-application
proceedings are registered at the same time.
Until a proceeding is registered, only the applicants, co-applicants and their representatives can view the draft
information. Once applications are registered, all the eFiling System users can search and view the proceeding and
its applications.
9.1.1 To register a proceeding
On the Proceeding home or the Applications page, select Register proceeding.
You are prompted to confirm the registration.
eFiling System User Guide - Register a proceeding July 2023) • 47

When a proceeding is registered,
• the proceeding status is set to Active,
• the application status changes to Registered,
• applicants are assigned to each application in the proceeding,
• exhibit numbers are assigned to the application documents,
• the application form(s) are converted into .pdf format, and
48 • eFiling System User Guide – Register a proceeding (July 2023)

• a filing announcement filing is automatically generated in .pdf format and registered on the proceeding.
eFiling System User Guide - Register a proceeding July 2023) • 49

10 Participate in a proceeding
Participants are directly involved in the proceeding and make filings. A statement of intent to participate (SIP) is
required.
The types of participants include:

• Representative - the agent or solicitor representing one or more corporate or individual parties in a
proceeding. A representative can act on behalf of an applicant or intervener.
• Intervener - A person, group, association or company, other than the applicant, participating in a proceeding
that has a material interest in the AUC's decision (could be a customer or a group representing customers and
may include an AUC-sponsored expert or AUC staff panel). Interventions can be in support of or opposed to
the application(s).
• Market participant objector – A market participant objecting to an independent system operator rule. The
onus is on the market participant to defend their objection.
Other types of registered parties include:
• Court Reporter - the court reporting company hired to provide a verbatim transcript record of a hearing
(a statement of intent to participate is not required and there are limited associated filing types).
• Observer – a person or organization that monitors a proceeding in order to receive Notifications about
updates to the proceeding (observers do not submit proceeding documents).
The AUC supports the forming of groups during the hearing process. Those with similar concerns are encouraged
to consolidate and make filings collectively. A representative of the group adds and removes members and makes
filings on its behalf.
50 • eFiling System User Guide – Participate in a proceeding (July 2023)

Applicants and the Commission are automatically considered participants. Only those on the potential participants
list can register for a restricted proceeding.
Registration to participate on a proceeding opens when

the proceeding is registered.
When you first view a proceeding where you are not the
applicant, you are asked if you want to register to
participate. This will automatically navigate you to the
Registered parties page of the proceeding selected.
10.1 To participate in a proceeding

Select Registered parties in the left navigation menu and click Register to participate. All users must agree to the
AUC privacy policy available on the AUC website. You will be prompted to register to participate if you are an
unregistered party and you navigate to the proceeding home page.
Step 1: Registration Type

In the Participant registration pop-up box, select the participant type.
eFiling System User Guide - Participate in a proceeding July 2023) • 51

Step 2: Contacts
Primary contact information is automatically entered for single users. Organizations must select a primary
contact (and optionally a secondary contact).
Step 3: Representation
Depending on the registration type you selected you may have to complete a step about representation
of another party.
Representatives of a party
Representatives must select the party to represent from the list of already registered parties, parties not
registered, or click Create single user to create a new user account for the party that they are
representing (see Create a single-user account).
If a primary applicant with a representative is replaced with a new primary applicant, it is assumed that
the original representative does not apply to the new applicant and would need to be added as a
representative of the new applicant.

Representatives of a new group
Groups are formed with group members and representatives. All groups must have a unique group name
for the proceeding. Enter the name of the group and identify if you are representing a group of applicants
only or a group of non-applicants.
Note: Any subsequent representative must be added by the representative that first created the group.
Step 4: Complete the statement of intent to participate

The statement of intent to participate form must be completed by interveners, market participant
objectors, representatives of parties not already registered, and representatives of new groups.

Statement of intent to participate form for facilities applications

Statement of intent to participate form for rates and market oversight and enforcement applications
An option is provided on the form to upload additional documentation. If you need to upload additional documentation to
your submission, navigate to the Filings screen and create a statement of intent to participate filing type after registering to
participate.

Register to participate
When complete, click Register to participate. A PDF copy of the statement of intent to participate form is
registered on the proceeding filings.
Registered participants and applicants are notified of new proceeding participants.
10.2 Change or remove participant role

Only registered observers can change their registration type. As a registered observer, register to participate under
a different registration type (e.g., court reporter, intervener, market participant objector, or representative of a
new group or party). Upon registration of your new type, the system inactivates your observer status. As a
registered party, the observer registration type is no longer available to you.
Observers and registered parties wanting to be removed from the proceeding, must submit a request to the
respective proceeding’s Lead Application Officer. The contact information is available on the proceeding’s
Proceeding home screen under Proceeding information.
10.3 Participation notification

Notifications of new participants and changes to existing ones are listed on the Notifications page.
Upon registration to participate, the contact listed for the registered party is automatically subscribed to receive a
daily email summarizing the proceeding’s Notifications. Other eFiling System users for that registered party can
subscribe to receive the daily summary email. To manage the email subscription and frequency see section: Daily
Notification summary email.
11 Schedules
AUC staff assigned to a proceeding creates and manages a schedule that enables users to make filings and register
to participate in the proceeding. This includes schedule items such as information requests and responses,
meetings, evidence and undertakings. Select a schedule status to see if the schedule item is not started, in
progress, not completed (not started and in progress), and completed.
Select a schedule item to view detailed information.
56 • eFiling System User Guide – Schedules (July 2023)

11.1 Schedule types
Type Description
Application response A letter to the applicant from the AUC outlining the anticipated procedural
letter schedule for the application.
Argument Deadline date and time for submission of documentation that summarizes the
evidence for a party's case, highlights the important aspects of the issues, states
what the AUC's decision should be, and gives supporting reasons.
Argument - reply Deadline date and time for submission of documentation to reply to the parties'
final argument.
Cost budget The deadline date and time for submission of a detailed budget outlining the
reasonable fees and disbursements the party anticipates will be incurred in
association with a proceeding.
Cost budget - reply The deadline date for submission of a party’s revised budget that outlines the
reasonable fees and disbursements the participant anticipates will be incurred in
association with a proceeding.
Cost budget - response The deadline date and time for submission of a party’s comments on the cost
budgets.
Evidence Deadline date and time for submission of documentary evidence by involved
parties detailing facts to support or refute an application.
Evidence - rebuttal Deadline date and time for submission of written evidence given in response to
new issues raised in evidence.
Evidence - sur-rebuttal Deadline date and time for submission of written evidence in response to issues
raised in rebuttal evidence.
Hearing Commencement date and end date of the oral hearing session. See the Hearing
announcement for full details.
Information request The deadline date and time for registered parties to submit information requests
to other registered parties.
Information response The deadline date and time for registered parties to submit information responses
Meeting - pre-hearing Date, time and location for discussion of the procedural matters for the hearing
including scheduling, issues, positions, costs, use of third-party consultants, or
other matters to ensure the hearing is efficient. See Process announcement for
meeting details.
Meeting - information Date, time and location of information session about public participation in the
session hearing process to be given by AUC staff. See Process announcement for full
details.
Meeting - settlement Date, time and location of a meeting between parties to discuss a negotiated
settlement.
Meeting - technical The date set for a meeting to allow the applicant to explain and discuss its
application in an informal and collaborative setting prior to a litigated hearing.
Participation closing date The deadline date and time for a party to register to participate in a proceeding
and submit a statement of intent to participate.
Post-disposition The timeline required to allow any follow-up documentation to be filed by
documentation registered parties on a proceeding that has been completed.
Procedural submissions - The deadline date and time for submissions of documents pertaining to a
motion particular issue or matter.
Procedural submissions - The deadline date and time for submissions in reply to a procedural submission -
reply response.
Procedural submissions - The deadline date and time for submissions in response to a procedural
response submission.
Reply to AUC The deadline for external parties to respond to AUC correspondence.
correspondence
eFiling System User Guide - Schedules July 2023) • 57

Type Description
Undertakings - request The deadline date and time for registered parties to submit undertaking requests
Undertakings - response The deadline date and time for registered parties to submit undertaking responses
12 Filings
Registered participants in a proceeding can register a filing to the proceeding. They can create, edit and delete
draft filings before registration. Filings can be made more than one time: perhaps once as an intervener and
another as a representative of a group.
Single users and any staff for an organization that is a registered participant in a proceeding can create filings.
Observers and inactive registered participants for a proceeding cannot create filings.
Only the creator of the filing can view their draft filing; once the filing is registered, AUC staff assigned to the
proceeding can update the filing information (not the content) and remove (void or withdraw) the filing if
required. Revisions can be made to filing documents after registration. Once a proceeding is complete, only post-
disposition document filings that are associated to applicable post-disposition schedules can be made.
An observer to a proceeding is not considered a registered participant and can only view and receive notifications
about registered filings available to the public. This includes the filing announcement, notice of application, and
decision.
If a proceeding is restricted only registered parties and assigned AUC staff resources can view and manage the
filings.
12.1 Filing types

Filing type Description
Application complete A Commission letter that advises, in writing, when it has deemed an application to be
letter complete, such that the application is technically sound, not deficient of information
and can continue to be processed.
Application response letter A letter to the applicant from the AUC outlining the anticipated procedural schedule
for the application.
Argument Written submissions that summarize the evidence for a party's case, highlights the
important aspects of the issues, states what the AUC's decision should be and gives
supporting reasons.
Argument - reply Documentation submitted by parties to reply to the final argument.
Compliance letter Correspondence written by the AUC that indicates that a disposition direction(s) has
been adequately met.
Confidentiality Pursuant to Rule 001: Rules of Practice, a required form (RP5) submitted by a party
undertaking wishing to be granted access on the eFiling System to the confidential information for
the purposes of participating in a proceeding. The undertaking describes the specific
protocol and procedures for the handling of the confidential information.
Confidentiality ruling A document issued by the Commission that grants or denies a motion for
confidentiality, outlines the specifics of what information is to remain confidential,
and details any parties to be excluded from submitting a confidentiality undertaking.
Correspondence - AUC to Letters and other correspondence written by the AUC that are directed to the
parties applicant or other parties.
58 • eFiling System User Guide – Filings (July 2023)

Correspondence - external Letters, emails and other miscellaneous correspondence written by involved parties
regarding the proceeding (if you are requesting an action from the Commission use
document type: procedural submission - motion).
Cost budget The detailed projection of associated reasonable costs and disbursements expected
by registered party participating in a proceeding.
Cost budget - reply Documents submitted in reply to a cost budget - response.
Cost budget - response A document that provides comments on the participant and applicant cost budgets.
Direction response Correspondence written by a responsible party to fulfill a direction of the

Commission.
Evidence Documentary evidence submitted by parties detailing facts to support or refute an
application. Evidence must be accompanied by a statement setting out qualifications
of the person who prepared the evidence or under whose direction the evidence was
prepared.
Evidence – AUC-sponsored Evidence provided by an expert sponsored by the AUC.
Evidence - rebuttal Written evidence given in response to new issues raised in evidence.
Evidence - sur-rebuttal Written evidence from registered parties in response to issues raised in rebuttal
evidence.
Filing announcement Notification of registration of a proceeding with the AUC.
Hearing exhibit Documents that are introduced into evidence in the hearing and have been accepted
as evidence on the record (not pre-filed evidence).
Information request Specific questions for clarification about a party's evidence, documents or other
material that is in the possession of the party and relevant to the proceeding.
Information response Response to each question posed in an information request.
Motion for confidentiality Documents submitted by a party requesting a Commission determination to keep a
document, a portion of a document, or multiple documents confidential and off the
public record. The motion describes the specific information that should remain
confidential and must include either a public, redacted version of each confidential
document, or where the request applies to an entire document, a non-confidential
description or summary of that document. Although filed separately on the
confidential record, the motion also requires all unredacted confidential documents
for consideration by the Commission.
Non-compliance letter Correspondence written by the AUC that indicates the reasons why a disposition
direction(s) has not been adequately met.
Notice for publication Concise version of the notices specifically for advertising in newspapers. May include
proof of publication.
Notice of amendment This notice briefly outlines the revisions made to the application(s) and may indicate a
new filing deadline for responses from interested parties.
Notice of application This notice briefly outlines the nature of the application(s) and solicits responses from
interested parties by a specified date.
Notice of hearing Correspondence from the AUC outlining details regarding a hearing or pre-hearing.
Opening statement Opening remarks by registered parties upon commencement of the oral hearing.
Post-disposition Follow-up documentation required to be filed by a specific registered party on a

documentation proceeding that has been completed. Examples include progress and post-
construction reports.
eFiling System User Guide - Filings July 2023) • 59

Pre-hearing Correspondence regarding the pre-hearing stage, including participant positions,
documentation costs, need for third-party consultants, hearing procedures, time allotment for
parties, negotiated settlements, appropriate dispute resolution, technical meetings or
information sessions.
Procedural filing - motion Documents submitted by a party requesting a Commission determination on a
procedural matter or issue.
Procedural filing -reply Documents submitted in reply to a response on a motion.
Procedural filing - response Documents submitted in response to a motion.
Process announcement Correspondence from the AUC outlining any aspect of the regulatory process for the
proceeding. The announcement can include details regarding a written process or
information session.
Reference material Documents that provide factual and contextual reference for potential use in the
preparation of the background and descriptive sections of a Commission report.
Reply to AUC The deadline for external parties to respond to AUC correspondence.
correspondence
Ruling Determination of the Commission in response to a motion.
Statement of intent to The nature of the party's interest in the proceeding; how the party will be directly or
participate adversely affected by the AUC's decision; the reasons why the AUC should decide in
the manner that the party advocates; and business interest rule eligibility.
Statutory declaration An AUC Statutory declaration of recipient form pursuant to Rule 001: Rules of Practice
required to be submitted by users that have executed a Confidentiality undertaking.
Transcript Documents containing a verbatim record of an oral hearing.
Undertaking Evidence submitted to comply with an undertaking to provide an answer to a

question asked during an oral hearing.
Undertaking – request A question arising from an undertaking.
Undertaking – response The response to a question asked about an undertaking.
12.2 Create a filing

To create a filing, select Filings in the left navigation menu and then select Create filing on the Filing details page.

Step 1: Select the party for the filing
Registered participants in a proceeding create, edit and delete draft filings for a proceeding.
Participants include:
• applicants
• interveners
• market participant objectors
• representatives
• court reporters
This field is automatically populated with your name and participant type entered when you registered to
participant in the proceeding.
If you are a representative acting for more than one group or registered party, step 1 requests that you select who
you are making the filing on behalf of.
Step 2: Select the schedule item

Filing items for the participant type are listed; for example, transcript is shown to a court reporter.
Note: A filing type cannot be changed once selected. If necessary, delete the draft filing and create a new
corrected one. After registration of the filing, contact the AUC to make any required changes.
If you select a filing type in step 2, you are moved directly to step 4 to enter a description of the filing.

If the filing is not related to a schedule item, select No schedule item was required for my filing type. You are
moved to step 3 to select the filing type.

Step 3: Select filing type
If you choose Information or Undertaking response, you must select which information/undertaking request you
are responding to. Multiple responders can be added to a filing and the filing can relate to one or more
applications in the proceeding.
Step 4: Enter filing description
Enter a description
that will withstand
time. This is viewed
by all users in the
eFiling System.
Step 5: Identify applications the filing applies to
When all the information is complete, click Save to open the new filing in the Filing details page.

While a filing is in draft form, you can:
• edit filing information
• upload filing document(s)
• register the filing
• delete the filing
12.3 Edit filing information

Select the filing to update. The Registered filings tab lists filings already registered in the eFiling System. The Filing
to me tab lists registered information and undertaking request filings where you are the responder. The My draft
filings tab lists draft filings where you are the one creating the filing.

Use the filter criteria to search for filings in this proceeding. See Find and Search to search for filings across proceedings.
On the Filing details page select Edit info to open the draft filing.
You can edit the filing description and change the applications that the filing applies to (see Create a filing). To
change the filing type or relate the filing to a schedule item, you must delete the existing draft filing and create a
new one.
12.4 Upload filing document(s)

Filing documents are uploaded on the Filing details page. Select Filings in the left navigation menu and then select
the filing to open the Filing details page.

Select Upload filing document(s).
Before you can upload any files you must first agree to the AUC privacy policy.
Uploading documents for the proceeding is a two-step procedure.
Step 1: Select the files to upload
Navigate to the file directory. Depending on the browser version you are using you will either click on the file name
(use the Ctrl key to select multplie files) or hover over the file name and click the checkbox that appears to the left
of the file name.
Once all files are identified, select Continue on to step 2.
Step 2 – Set document types, applications and descriptions for each file
Select
if you would like to populate
the description field for all files with the file name.

Enter a description of the file that will stand the test of time; for example, “Company TNT, Updated Air Photo
Mosaic, Site 22a, May 14, 2014”.
Click Upload document(s) to load the documents to the eFiling System. (This button is only active when all
required upload information has been entered.)
Documents can be added and deleted at any time while a filing is in draft form. Once a filing is registered the filing
documents are part of the record and cannot be removed; you must make a request to the AUC to add or remove
(void or withdraw) a document on a registered filing.
12.5 Information/undertaking requests and responses

Parties can submit and respond to information requests where one party requests another party to provide further
information to clarify filed evidence, to simplify issues in dispute, to allow a clearer understanding of the matters
to be considered by the AUC, or to expedite the proceeding. Rule 001: Rules of Practice outlines the procedures for
making an information request. Information requests must be in writing, dated, contain specific questions that
clearly specify the information sought, and be filed in accordance with the rules of practice.
Information requests and information responses can be submitted after the start of an oral hearing session date if
required.
12.6 Register filing

To register a filing, select Register filing on the Filing details page.
When a filing is registered:

• the registered date is set to the current date and time
• exhibit numbers are assigned to the filing documents
• all registered parties are notified
Filings and documents associated with a schedule item are marked as late if they are registered after the schedule
closing date.

12.7 Delete filing
A filing can be deleted at any time before it is registered in the eFiling System. All associated documents are also
deleted. To delete a filing, open the filing and select Delete filing on the Filing details page.
Filings cannot be deleted once they have been registered. If changes to the filing are required after registration
contact the AUC at info@auc.ab.ca.
13 Revising a document
As outlined in Rule 001: Rules of Practice revisions to already registered documents should be filed with a
blacklined version and a clean version of the revised document.
Revisions may only be filed by the registered party that submitted the document, their representative or
the AUC. Only documents with an exhibit number are eligible for revision. Revisions may not be filed on
system-generated forms such as the Application form or the Statement of intent to participate form.
Revision Description
type
Original The original incorrect document that has been revised (example: 52011-X0004).
Blackline A blacklined version of the revised document that tracks each of the differences between the latest
version and the original version. The system will generate the same exhibit number as the original
document with a two-digit suffix incremented for each revision (example: 52011-X0004.01 for first
revision and 52011-X0004.02 for second revision).
Clean The complete revised document in its entirety without any tracked changes. The clean version is
populated with the same two-digit suffix as the blacklined version.
Up to 99 revisions can be filed on a single document. The revision status located in the Document revision history
shows which is the latest version on record.
68 • eFiling System User Guide – Revising a document (July 2023)

Revision Description
type
Latest This is the most up-to-date version of the document and is to be considered the master. The latest
blacklined version is always available on the Documents page.
Replaced Used when an initial revision is applied to the original document or subsequent revisions are applied
to the latest blackline version. The original and all previous versions will have a replaced status.
Removed Revisions that have been removed by a LAO or records manager and are no longer relevant. The
system reverts the master to the previous blackline version. Removed revisions are not accessible on
the external site.
13.1 Revision document upload

To file a revision to an application or filing document, select Documents in the left navigation menu from
the Proceeding home page. Locate the document and select the action items icon next to the
document you would like to revise and select Revise document. You will also be required to agree to the
AUC privacy policy.
At Step 1 of the Upload revision documents screen, upload two files. One file must be a blackline version that
shows any tracked changes from the original document. The other file must be a clean version without any tracked
changes. Select to Continue to step 2.
eFiling System User Guide - Revising a document July 2023) • 69

At Step 2, enter a location and reason for the revision(s) and select a revision type for each of the two
files uploaded. Select to Upload documents.
Alternatively, you may select to revise an application document by selecting the Upload document button on the
Application details page and then selecting to Revise document at the prompt.

Filings may also be revised from the Create filing button on the Filings page and then selecting to Revise
document.
Whether you are revising an application document or a filing document, you will be required to select the exhibit
that you would like to revise before uploading the blackline and clean version of the revised document.

13.2 Revision document display
The latest blacklined version will be visible on the Documents screen with a .01 appended to the exhibit number
(incremented for each subsequent revision). Select View Revision History from the document action items icon to
see all previous versions or select View Clean Version to view a version without tracked changes.
Both the blacklined and clean versions of the latest and all replaced versions, as well as the original document, can
be accessed through a link on the exhibit number from the Document revision history. Links to removed revisions
will be deactivated if a revision is removed by the AUC.

13.3 Notification of revisions
When a revision is either added or removed, the system will generate a proceeding notification indicating which
exhibit number has been revised or removed.
Revisions are included in the Other proceeding activity on the daily proceeding summary email.
13.4 Searching for revised documents

When searching for documents that have been revised, it is important to check the revision status on the results
set to ensure you are viewing the latest version. The original and all replaced versions remain available in the
search results. The revision type is also included in the search results so a user can distinguish between the
blackline and clean version.

Search results may be filtered by Revision type or Revision status.
14 Exhibit numbers
When a proceeding is registered in the eFiling System, all documents filed with the application or filing are
assigned a unique identifying number. This exhibit number is used to refer to documents, especially at oral
hearings where proceeding documents are called for display to all participants. The eFiling System auto-generates
exhibit numbers for all documents submitted prior to the commencement of a hearing or pre-hearing session.
Filings identified and presented as exhibits during a hearing are assigned exhibit numbers manually by AUC staff.
14.1 Exhibit number format

Exhibit numbers are unique within a proceeding; a number cannot be assigned to more than one document in the
same proceeding.
Exhibit numbers start with the proceeding number followed by “-X“, followed by 4 digits; for example, 111232-
X0001). The first application form in a proceeding is assigned a 0001 exhibit number; all following application
documents are assigned a sequential number (111232-X0002, 111232-X0003…).
14.2 View and search exhibits
Exhibit numbers are listed next to the documents in the eFiling System.
Quick access directly to a particular exhibit is often required especially in hearings. To quickly search for an exhibit
number in a proceeding, select Documents in the left navigation menu and enter the exhibit number in the search
criteria field.
74 • eFiling System User Guide – Exhibit numbers (July 2023)

You can enter part of the exhibit number to return search results; for example, X005 returns all exhibit numbers
starting with X005; 017 returns all exhibit numbers containing 017. Enter a minimum of three numbers/characters.
Note: Enter the attachment number to search for exhibit numbers generated in the previous electronic filing
system.
If you do not know the proceeding number, enter the exhibit number or as much of it as you can proceeded by X
(for exhibit) on the main Search page. The following example returns all proceedings, applications, filings and
dispositions containing X0005.
15 Directions
The AUC writes conditions and directions as requirements that must be addressed as part of the decision
approvals. The directions are included in a variety of disposition types (decisions, approvals, permits, etc.). These
directions range from simple instructions that must be satisfied with a direction response filing to complex
guidance that may be satisfied with a full compliance application. A single disposition can have many directions.
Each direction is assigned to a responsible party.
15.1 Direction properties

Property name Description
Direction A direction number is system-generated to give the direction a unique identifier. The format
of the direction number is proceeding number-Disposition number-Year of disposition
issuance-000X. Example, 20103-D01-2016-0001 or for pipeline licences the format is
20103-989-0002.
Title An optional short title for the direction that is entered by the AUC.
Description A statement that describes what the Commission is directing the responsible party to do.
Originating The number of the proceeding that contains the disposition which outlines the directions to
proceeding one or more responsible parties.
Originating The number of the disposition document that contains the directions to one or more
disposition responsible parties.
Responsible party The external party that the direction is assigned to. A single direction may only be directed
to a single registered party upon creation. A responsible party may not be an Observer,
Commission or Court Reporter.
Due date The date in YYYY/MM/DD format that the responsible party is expected to file a response to
a direction.
eFiling System User Guide - Directions July 2023) • 75

Property name Description
Reminder date The date in YYYY/MM/DD format that the system will notify the LAO and responsible party
that the direction is coming close to being due.
Non-compliance The date in YYYY/MM/DD format that the LAO enters when the original due date has passed.
response due date The system will notify the LAO and responsible party that the direction is non-compliant. A
response is expected when the non-compliance response due date has passed.
Proceeding satisfying The proceeding that contains the application or filing document from the responsible party
direction in response to a direction.
Disposition satisfying The number of the disposition that satisfies the direction. A direction is satisfied when the
direction status changes from Pending to Compliant. A single disposition may satisfy one to many
directions.
Paragraph number The optional paragraph number in the disposition where the direction is written.
Condition number The optional condition number in the disposition where the direction is written.
Electric facility ID The facility number that is entered by the administrative assistant when the direction is
created.
Direction documents Application or filing documents uploaded by the AUC or by the responsible party that are
associated to the direction.
Rescinded by The disposition number or direction number that is superseding the rescinded direction.
15.2 Viewing directions

Select Directions from the proceeding left navigation menu to see a listing of all directions originating from
dispositions on the proceeding.
Select the direction number to

view the detail screen.
To view directions related to a specific disposition, select Dispositions on the left navigation, select the disposition
number to view the Disposition details screen and navigate to the Directions issued tab.
76 • eFiling System User Guide – Directions (July 2023)

15.3 Direction details
By selecting the hyperlink on the direction number, a user is navigated to the Direction details screen.
15.4 Direction statuses

Status Description
Outstanding The direction has been created by the AUC and assigned to a responsible party.
Pending The responsible party has filed a response to an Outstanding, Pending, Under review or Non-
compliant direction. Registered parties and team members from the proceeding through
which the document was uploaded are notified that the direction has been responded to.
Under review The AUC is reviewing the response to the direction.
Compliant The direction has been satisfied and is complete.
Non-compliant The direction is past-due or has an incomplete response.
Forbearance The AUC is abstaining from enforcement of the direction.
Alternative The AUC has engaged in a collaborative process as a means for parties to resolve a direction.
resolution
Rescinded The direction was associated to a disposition that has been superseded by the issuance of
another disposition or the direction has been replaced by another direction.
Cancelled The direction is no longer valid. Hyperlinks to direction documents are disabled for cancelled
directions.
15.5 Direction monitoring and notifications

The system monitors the dates of directions with a status of outstanding or non-compliant and provides a daily
directions summary by email to the responsible party’s primary and secondary contacts upon the reminder, due
date and non-compliance response due dates passing.

When the reminder, due date or
non-compliance response due
date passes, a daily directions
summary notification email is
sent to the responsible party’s
primary and secondary contacts
indicating that the direction has
passed its reminder, due date or
non-compliance response due
date.
15.6 Responding to directions

An outstanding, pending or non-compliant direction may be responded to with a direction response filing or an
application document. In most cases, the document should be filed through the originating proceeding regardless
of whether the proceeding is active or completed. However, in the case of a compliance application that satisfies a
direction, a direction may be responded to with an application document through another proceeding.
15.7 Responding to a direction with a filing

From the left navigation pane, select Filings and then Create filing.
Select No schedule item is required for my filing type.

Select the Direction response filing type.
Enter a description for the Direction response filing.
Select Upload filing document(s).
Acknowledge and agree to the AUC privacy policy.

Select Add more files to browse and choose files to upload and then select Continue to step 2.
Select the Add directions link next to each uploaded file to associate each document to one or more directions.
Select one or more outstanding, pending or non-compliant directions to associate your document to and select
Save.

Once all documents have been associated to the directions, select Upload document(s).
The direction number(s)

is listed next to the
uploaded documents
indicating which
directions are associated
to each document.
Select Register filing.
Direction response filing type has a status of Registered.

Directions that have been responded to will have a status of Pending.
The Proceeding
satisfying direction
indicates which
proceeding the response
was filed through.
The document is
available on the
Direction details
The document is also available on
document tab.
the Documents screen on the
proceeding through which the filing
was uploaded. The direction
number is displayed next to the
document.

Registered parties are notified that a response was filed through the originating proceeding.
15.8 Responding to a direction with an application document

Request a proceeding as you normally would to file a new application and select to Continue.
Select Add application.
Select the appropriate application type(s) and complete any required application forms and select Save.
Compliance applications are

described in the application type
description.

Select the application number link.
Select Upload document and then acknowledge and agree with the AUC privacy policy.
Select Add more files to browse to upload compliance application files and select Continue to step 2.
Set the document type, application and description and select the Add directions link.

Select the direction(s) to associate your application document to and then select Save.
Select to Upload documents.
Associated
directions are
listed here.
Select Register proceeding.

Associated directions on the originating proceeding have a status of Pending and the document is available on the
Direction details documents tab that was filed through the new compliance application.
New proceeding is
listed as the
proceeding satisfying
direction.
Parties are notified through the proceeding satisfying the direction(s).
16 Confidential proceedings
In accordance with AUC Rule 001: Rules of Practice, a party may request that information within a document, an
entire document or multiple documents be treated confidentially and redacted from the public record. A
proceeding is considered confidential when a disclosing party (owner of the confidential material) files a Motion
for confidentiality filing and the motion is granted by the AUC in a Confidentiality ruling.
86 • eFiling System User Guide – Confidential proceedings (July 2023)

16.1 Requesting information to remain confidential and off the public record
Requesting confidential treatment of a record(s) is a three-step process.
Step 1: the disclosing party or their representative creates a Motion for confidentiality filing.
Step 2: the disclosing party or their representative uploads and registers to the public record the motion
document, which must include the reasons and specific harm that would result if the document was placed on the
public record, and either a redacted version of each of the confidential documents, or where the request applies to
an entire document, a non-confidential description or summary of the information.
Step 3: the disclosing party or their representative uploads the unredacted confidential documents on the
confidential record for consideration by the Commission.
Step 1: Create the filing
From the Filings screen, create a new Motion for confidentiality filing type. There is no Related schedule item
required for this filing type. Upon saving the filing, the user is directed to the Filing details screen, Public
documents tab to upload the motion and related public files.
Step 2: Select the public files to upload to the public record
From the Filing details screen, Public documents tab, select Upload filing documents(s). Upload the motion and
either a redacted version of each of the confidential documents, or where the request applies to an entire
document, a non-confidential description or summary of the information. Do not include the confidential
documents at this step. Select Register filing. When the filing is registered, the system assigns exhibit numbers to
the documents and the filing becomes part of the public record.
Upon registration of the Motion for confidentiality filing, the user will be directed to the Documents screen,
Confidential motion tab. Only confidential administrators of the disclosing party’s organization can upload the
confidential documents that the user would like the Commission to consider as part of its motion.
eFiling System User Guide - Confidential proceedings July 2023) • 87

Step 3: Select the confidential files to upload to the confidential record
From the Documents screen, Confidential motion tab select Upload confidential motion files and select the
unredacted confidential documents related to the motion for the Commission’s consideration. The confidential
administrator can continue to upload confidential motion documents when the motion status is Awaiting
confidential motion files.
Once all confidential motion documents are uploaded, select the Finalize button to inform the AUC that the
confidential motion documents are ready for Commission consideration. The motion status will change to
Finalized and the upload function becomes disabled.
Confidential motion documents are not assigned exhibit numbers by the system and are not placed on the public
record.

The Commission will grant or deny the Motion for confidentiality through a Confidentiality ruling filing. Once a
Confidentiality ruling has been issued on an associated motion, all confidential motion files will be deleted
automatically from the system in 60 days or at proceeding completion (whatever date comes first). The disclosing
party is required to re-submit all granted confidential information.
16.1.1 Access to the confidential motion documents

The confidential motion documents are accessible to the following users:
• Commission panel members and Commission staff for the purposes of the Commission issuing a
confidentiality ruling on the request.
• Any confidential administrators in your organization.
• Organizational users that you have designated on the disclosing party access screen for a particular
proceeding.
• Users from any organization that represents you that you have designated on the disclosing party access
screen for a particular proceeding.
16.2 Disclosing party access

An organization’s confidential administrator allows other users in their organization and representative
organizations to view and download confidential motion documents and confidential documents submitted by
their organization for each confidential proceeding.
Confidential administrators for the disclosing party’s organization are automatically added by the system to the
disclosing party access screen.

Select Manage user access to add other users from your organization or representative organizations.
16.3 Re-submitting confidential documents

Once the AUC issues a Confidentiality ruling and has granted the associated Motion for Confidentiality, the
disclosing party is required to re-submit the confidential documents that are specified in the Confidentiality ruling.
For each confidential application or filing document that is re-submitted, the disclosing party is required to provide
a redacted version of the confidential document or select a system-generated summary document for the public
record.
Where the Confidentiality ruling denies the request in full or in part, the disclosing party must contact the
proceeding’s Lead Application Officer and request the public documents previously submitted with the motion be
voided from the public record.
Confidential filings or application documents can also be filed by other parties that have submitted a
Confidentiality undertaking and have been granted access by the discloser of the confidential information.
16.3.1 Upload confidential application documents

From the Application details screen, select Upload document.

Select that you are uploading confidential files for the confidential record and redacted versions for the public
record.
Review the confidential document disclaimer that describes who the confidential documents will be accessible to
and select to acknowledge and agree.
Upload the confidential application documents and continue to step 2.

Set the document type, application, description and associated public version for each confidential document.
When selecting the public version for each document, you will have two options.
Ensure that every confidential document has a corresponding public, redacted version or generated summary and
then select to Upload.

All confidential application documents are available on the Confidential documents tab on the Application details
screen. All corresponding public versions are available on the Public documents tab.
The public and confidential documents are also available on the Documents screen to authorized users.
16.3.2 Upload confidential filing documents

Create a new filing and select the corresponding schedule and filing type and enter a description. Confidential
documents can be filed on all available filing types on confidential proceedings.

On the filing indicate that you are uploading confidential files for the confidential record and redacted versions for
the public record.
Select the disclosing party (owner of the confidential material) and save the filing.
Select to Upload filing documents and then select I am uploading confidential files for the confidential record,
and redacted versions for the public record.

Acknowledge and agree that you are filing the confidential information according to Rule 001: Rules of Practice.
Upload the confidential versions of your documents first and enter a description.
For each confidential document uploaded, you are required to submit a public redacted version or select to
generate a public summary document. The generated summary document is created after the filing is registered.

Once every document has a corresponding public version select the Upload button.
Confirm the upload and then register the filing.
The confidential filing documents are available on the Confidential documents tab on the Filing details screen
along with the associated public version. The public versions are available on the Public documents tab.

The public and confidential versions of the documents are also available on the Documents screen under the
Public and Confidential tabs. The confidential documents will be symbolized with a lock and key.
16.3.3 Access to confidential documents

Access to confidential documents is limited to the following:
• Commission panel members and Commission staff.

• Any registered party that files a confidentiality undertaking and that has been granted access by the
disclosing party for a particular proceeding.
In addition, if you are the disclosing party, then the information that you share will also be accessible to the
following:
• Any confidential administrators in the disclosing party’s organization.

• Organizational users that you have designated on the disclosing party access screen for a particular
proceeding.

• Users from any organization that represents you that you have designated on the disclosing party access
screen for a particular proceeding.
16.4 Exhibit numbers for confidential documents

The confidential version of the document gets the same exhibit number as the public version but will have a
-C appended to the end of the exhibit number.
Select the confidential exhibit number on the Documents screen to access the confidential version of the
document if you have been authorized by the disclosing party.
16.5 Revisions to confidential documents

Revisions can be made to confidential documents or their paired public version by authorized users. A blackline
and clean version must be provided for the file being revised. Select the action icon next to the document on the
Documents screen and select to Revise document.
Because the exhibit number is shared by the confidential and public version, this can lead to differences in the
revision number on each document. For each revision applied to either the public version or the confidential
version, the exhibit number extension will get the next sequential number applied only to the specific version
being revised. Each document history will show only the revisions that were applied to the particular document.
See the Revising a document section in this user guide for complete instructions.

16.6 Replacing a public generated summary document with a redacted version
As system-generated documents are not eligible for revision, a party may choose to replace the public generated
summary document with a redacted version. This action is available on a generated summary document. A
replacement does not require a blackline and clean version and exhibit number extensions do not apply to
replacement documents.

16.7 Requesting access to the confidential documents
As described in Rule 001: Rules of Practice, if an individual wishes to be granted access to the confidential
information for the purposes of participating in a proceeding, they are required to submit a Confidentiality
undertaking form (RP5 form available on the AUC website). Everyone in an organization needing access is required
to file a Confidentiality undertaking filing. The party registers the public confidentiality undertaking filing with the
RP5 form attached. The confidentiality undertaking for the individual is required to be granted or denied access by
the confidential administrator of the disclosing party. The submitter of the confidentiality undertaking is required
to select the party that owns the confidential information as well as identify the user that the confidentiality
undertaking is for.
16.7.1 Filing a confidentiality undertaking

In order to file a confidentiality undertaking to request access to access confidential information, you must first be
a registered party on the proceeding.
Create a new filing from the Filings screen. You must be a registered party on the proceeding to be able to create a
filing.
Select No scheduled item is required for my filing type and select the filing type of Confidentiality undertaking.
Enter a filing description. Select the user from your organization that requires access to the confidential
information and select the owner of the confidential information. Select Save.

Select to Upload filing document and attach a completed RP5 form available on the AUC website with Rule 001:
Rules of Practice. Select the Upload button.
Select the Register filing button.

Upon registration of the Confidentiality undertaking filing, an email message is sent to the confidential
administrator(s) of the disclosing party to indicate that a request for access has been made.
Confidentiality undertakings are not required to be filed more than once by individuals seeking access on
proceedings where multiple rulings have been applied to a single disclosing party. Once an individual is granted
access by a disclosing party, access is granted to that disclosing party’s confidential information granted through
subsequent confidentiality rulings throughout the duration of the proceeding.
16.8 Disclosing party grants or denies access requests

The confidential administrators for the disclosing party may grant or deny access to their confidential information
as directed in the AUC’s confidentiality ruling to individuals that have submitted a confidentiality undertaking.
From the Documents screen, select the Undertaking access tab. The number of requests awaiting response are
listed on the tab.

16.8.1 Access request statuses
• Awaiting response – the individual identified in the confidentiality undertaking is awaiting a decision from the
disclosing party’s confidential administrator to grant or deny access to the confidential documents. Access to
the confidential documents is not allowed until a decision has been made.
• Granted – the disclosing party’s confidential administrator has allowed access to the confidential documents
to the individual identified in the confidentiality undertaking.
• Denied – the disclosing party’s confidential administrator has refused access to the individual identified in the
confidentiality undertaking.
• Statutory declaration filed – the individual identified in the confidentiality undertaking has filed a statutory
declaration filing declaring that access to the confidential documents can be removed and all downloaded
copies have been expunged.
16.9 Proceedings related to confidential proceedings

When the AUC issues a Confidentiality ruling on an originating proceeding, it is often specified in the document
that the ruling applies to any related compliance, costs or review and variance proceedings. When a proceeding
gets related to a confidential proceeding and the AUC links the confidential permissions, the system ports the
permissions to access the confidential documents to the related proceeding for individuals authorized by the
disclosing party on the originating proceeding.
16.9.1 New confidentiality undertakings on related proceedings

When a new Confidentiality undertaking is filed on a proceeding that is related to an originating, confidential
proceeding, the individual identified in the filing will gain access to the confidential files on the originating,
confidential proceeding when access has been granted by the disclosing party.
16.10 Statutory declaration

Pursuant to Rule 001: Rules of Practice, users that have executed a Confidentiality undertaking are required to file
a Statutory declaration of recipient form that indicates that they had access to the confidential information and will
not disclose the material in any manner and that all electronic copies in their possession have been expunged. The
Statutory declaration of recipient form is available on the AUC website with the Rule 001: Rules of practice.
Statutory declarations are expected to be filed within 60 days of a disposition being issued, unless the disposition is
related to a further compliance application, review and variance application or appeal. The filing of a statutory
declaration can be delayed if there is a compliance filing or review and variance applications.
Statutory declarations are required to be filed for each disclosing party that has granted you access.

16.10.1 Statutory declaration statuses
Statutory declaration statuses are displayed on the Undertaking access tab of the Documents screen.
The statuses are as follows:
• Filed - a statutory declaration filing type has been filed by the individual selected on the confidentiality
undertaking.
• Outstanding – a statutory declaration is required to be filed for the individual that has been granted
access, at any point, by the disclosing party through the confidentiality undertaking access request.
• Not required – a statutory declaration is not required to be filed for the individual selected on the
confidentiality undertaking because their access was denied by the disclosing party.
Once a statutory declaration filing is registered for an individual, access to confidential material on the confidential
proceeding, and any related proceedings, is removed by the system.
16.10.2 Create a statutory declaration filing
Create a new filing, select no schedule item is required for my filing type and select the Statutory declaration
filing type. Enter a filing description. Select the user that submitted the Confidentiality undertaking and select the
disclosing party.

Agree to the public document disclaimer and attach a completed Statutory declaration of recipient form.

Enter a file description and select to upload.
Register the filing.
The statutory declaration status will change from Outstanding to Filed and access to confidential documents will
be removed for the user.

17 System communication
17.1 Notifications
Proceeding Notifications are available from within the eFiling System; they are not emails. Notifications are a
short synopsis describing filing, participant registration, scheduling and disposition activities that have occurred on
a proceeding. Only registered parties and those users whose organization is a registered party to the proceeding
can view a proceeding’s Notifications.
Notifications are displayed from the eFiling Home screen under My notifications and Recent notifications, and
from a proceeding’s Notifications screen.
From the Home screen, My notifications

lists all notifications for all proceedings
the user is a registered party to. There is
an option to filter notifications by type,
keyword or proceeding ID. Results can be
exported to Excel.
From the Home screen, Recent notifications lists the 10 most recent notifications from all proceedings the user is
a registered party to.
eFiling System User Guide - System communication July 2023) • 107

From the proceeding’s Notifications menu, My notifications screen lists all of the proceeding’s Notifications.
There is an option to filter notifications by type, keyword or proceeding ID. Results can be exported to Excel.
Organizational users and single users registering to participate in or observe a proceeding are automatically
subscribed to receive a daily email summarizing the proceeding’s Notifications. To manage the email subscription
and frequency, see section: Daily notification summary email.
17.2 Daily notification summary email

A daily email summarizing a proceeding’s Notifications (activities) is system-generated every 24 hours at
approximately 1 am, subject to proceeding activity having taken place within that 24-hour period.
Single users and observers registering for a proceeding are automatically subscribed to receive the proceeding’s
daily summary email.
Organizational users and observers that register their organization for a proceeding, and the selected primary and
secondary contacts, are automatically subscribed to receive the proceeding’s daily summary email. Other eFiling
users of the organization have the option to subscribe to receive the daily email. The system automatically
subscribes and unsubscribes primary and secondary contacts when they are changed, added or removed.
108 • eFiling System User Guide – System communication (July 2023)

The email frequency can be set to one of three options:
Daily summary – one daily email summarizing all Notifications.

Immediate – an immediate email notifying the user of AUC registered filings only.
Immediate and summary – both an immediate (AUC registered filings only) and daily summary email.
A user can view and change their subscription status and frequency from one of two screens.
Option 1: Select your personal profile on the upper right menu bar. Select the Proceeding notification settings tab
to see a list of proceedings you are registered to and your corresponding subscription status. To change the status,
click the subscription status to open the selection menu and click on the preferred status.
Option 2: From a proceeding’s navigation pane select Notifications and select Edit subscription. In the Edit my
proceeding subscription window, check the preferred subscription status and select the preferred email
frequency. Select Save.
eFiling System User Guide - System communication July 2023) • 109

17.3 Email Messages
Email messages are immediately sent for the specific conditions listed in the following table.
Condition Email message sent to

Proceeding registered • applicant(s) primary and secondary contacts
• primary applicant organization’s eFiling System administrator
Filing announcement • all users who have selected to receive Filing announcement globally.
registered
Statement of intent to Individual(s) who registered the statement of intent to participate and, if different,
participate registered the registered party for whom the statement of intent to participate was registered.
Dispositions issued Registered parties.
Notice of application All users who have selected to receive Notice of application globally.
filed
User account created User receives a system-generated password.
Password reset User receives a system-generated password.
Removal notice Applicant has a draft proceeding that is approaching 180 days in draft form and will
be deleted from the system.
Request for access The disclosing party’s confidential administrator(s) will receive an email to grant or
deny access to their organization’s confidential material when a confidentiality
undertaking is registered on a confidential proceeding.
Request for access To an individual that has submitted a Confidentiality undertaking when a
decided confidential administrator has granted or denied access
17.4 Daily directions summary

When the reminder, due date or non-compliance response due date passes, a daily directions summary email is
sent to the responsible party’s primary and secondary contacts indicating that the direction has passed its
reminder, due date or non-compliance response due date.
17.5 Global notifications

eFiling users can subscribe to receive one or more global notifications issued by email.
• Filing announcement – a daily email listing all applications registered within the last 24-hour period.
• Notice of application - a daily email listing all notices registered within the last 24-hour period.
• Issued dispositions – a daily email listing all dispositions issued within the last 24-hour period.
To receive one or more global notifications, select your profile on the upper right menu bar. From the Change
general information tab, under Global notification settings, check the preferred global notifications. Uncheck the
notification to unsubscribe.
110 • eFiling System User Guide – System communication (July 2023)

18 Dispositions
Select Dispositions from the proceeding menu to view dispositions related to a specific proceeding. Each issued or
rescinded disposition will be listed with a link to the disposition details screen on the disposition number. From the
Disposition details screen, a user can select the None link under the exhibit number column on the Issued
documents tab to view the public disposition document. Information about the disposition such as the release
date and time, disposition type and status are included on the Disposition details screen. For dispositions from
confidential proceedings, the confidential version of the disposition will be available on the Issued confidential
documents tab.
18.1 Rescinded or varied dispositions

When a disposition has been replaced or varied by another disposition, the rescinded or varied status will be
shown on the disposition details screen. A user can select the History tab to view a link to be directed to the
replacement disposition or if the current disposition has rescinded or varied another disposition.
eFiling System User Guide - Dispositions July 2023) • 111

19 Reporting
Use the Reporting option in the eFiling System to submit reports to the AUC that are not associated to a
proceeding. All the eFiling System users can submit, view and search these reports.
The reports include, for example, the annual and quarterly compliance reports for service quality and reliability
performance metrics for owners of electric distribution required by Rule 002: Service Quality and Reliability
Performance Monitoring and Reporting for Owners of Electric Distribution Systems and for Gas Distributors; and
the annual report of applications in response to Rule 005 required by Rule 005: Annual Reporting Requirements of
Financial and Operational Results.
19.1 Submit a report

Select Reporting in Go to… on the Home page.
In the List of submitted reporting page, click Submit new report.
All users must first agree to the AUC privacy policy.
Step 1: The name of your organization is automatically assigned.
112 • eFiling System User Guide – Reporting (July 2023)

Step 2: Select the reporting type you are submitting.
The AUC defines the reporting types. Contact the AUC at info@auc.ab.ca to request a new reporting type.
Step 3: Select the reporting period and the reporting year from the drop-down lists.
Step 4: Select the reporting file(s) to upload.
See Add application documents for upload instructions.
Step 5: Enter the report file description and click Upload document(s) & submit reporting.
eFiling System User Guide - Reporting July 2023) • 113

The applicant organization’s primary and secondary contacts are emailed that the report was successfully received
by the AUC and published on the website.
The report title consists of the [User Name]-[Reporting Period]-[Date-Submitted]; for example,
Elm Test Org-Annual-2014/11/06.
If a report requires AUC review before being published on the website, the following message is shown.
The AUC report custodian will review the report content before publishing it on the eFiling System.
19.2 View a report

Select Reporting in Go to… on the Home page.
Click on title of the report within the list on the List of submitted reporting page. Then select the specifc file name
to view from the list of files on the Submitted reporting documents pop-up box.
114 • eFiling System User Guide – Reporting (July 2023)

20 Find
Use Find on the top toolbar to locate current and historic applications, directions, dispositions, filings,
organizations, proceedings and schedules.
Find gives you a quick way to target specific files based on a variety of criteria such as status, applicant, registration
and disposition dates, and a simple way to export the data to an Excel spreadsheet.
Enter filter criteria and click Find to list the results in the lower part of the page (Reset clears current filter criteria).
Find applications:
Note: The Organization function requires a minimum of two characters in the organization name.
Text criteria fields are case sensitive.
Export to excel exports the results list as comma-separated values (.csv) file to Excel.
21 Search
Use Search to enter a text and character string to locate all occurrences of the string in the content of files on the
eFiling System. You can search the content for all files or search only within specific applications, filings and
dispositions sites. This search uses wildcard or Boolean operators, and you can also search by file properties or
phrases.
eFiling System User Guide - Find July 2023) • 115

Refine by site
Search results:
22 Advanced Search
The advanced search functionality in eFiling allows a user to construct complex search queries with
ease. The advanced search automatically inserts operators and property restrictions into the search
string so the user does not need to understand complex search syntax. The search string may be edited
by the user.
22.1 Add search terms

Search operators are commands for search engines to refine search results. Select from the search
terms to use some common operators and then select the Add button:
116 • eFiling System User Guide – Advanced Search (July 2023)

Enter the text you want to search for into the search term box and then click in the search string box to
populate the search string and then select the Search button.
Choose from the following search terms to have the system automatically add the operators into the
search string:
Search term Operator Description

Contains all words AND Returns search results that include all words in the search string.
Example: ("bat" AND "windmill").
eFiling System User Guide - Advanced Search July 2023) • 117

Contains any words OR Returns search results that include one or more of the specified
words. Example: ("bat" OR "windmill" OR "turbine" OR
"blades").

Words near NEAR(8) Matches results where a term is within close proximity to
each other another term. Example: ("wildlife" NEAR(8) "migration"). The number in
brackets after NEAR can be changed to another value by the user.
Specific phrase “text string” Matches results where documents contain the exact text string entered.
Example: "the most commonly observed species".
Words within NEAR(200) Matches results where a term is within close proximity to another term.
the same Example: ("wildlife" NEAR(200) "migration"). The number in brackets after
paragraph. NEAR can be changed to another value by the user.

* Wildcard Allows a user to specify part of a word from the beginning of a word,
followed by the asterisk character to return results that include the
beginning of the word with other endings. Use the Contains any
words search term. Example: ("entitle*") will return entitle, entitled,
entitlement.
22.2 Add search property

Properties are attributes or characteristics of a document, sometimes referred to as metadata.
Properties are used by search engines to help organize documents and allow a user to find relevant
information. They can be used to restrict search results to specific properties. Some examples of
document properties are document type, format, proceeding number, registered party, etc.
The following search restriction properties can be added to your searches to narrow your search results
set.
Select the search property and then select the Add button. Enter the text string into the property box.

Alternatively, you can select the magnifying glass to use the look-up tool to select the property directly
from eFiling data.
Search property Description

Proceeding Restricts the results to proceeding site page or documents that are part of the
number proceeding number entered. Example: user enters 26372 and the system enters
into the search string (ProceedingID:"26372" OR "Proceeding" NEAR "26372" OR
"Proceeding 26372").
Documents Restricts documents in the result set to those that were uploaded to
uploaded before the location prior to the date chosen. This does not include documents uploaded on
the date chosen. Example: user selects date of April 12, 2021 and the system
enters Created < "2021/04/12" into the search string.
Documents Restricts documents in the result set to those that were uploaded to the
uploaded after location after the date chosen. This does include documents uploaded on the date
chosen. Example: user selects date of April 12, 2021 and the system
enters Created >= "2021/04/12" into the search string.
Document Restricts documents in the result set to the chosen category of applications,
category filings, dispositions or all in eFiling. Example: the user selects Application from the
drop-down list and the system populates EntityType:"Application" into the search
string.
Document type Restricts documents in the result set to the chosen document type from a list of
document types in eFiling. Example: the user selects Ruling from the drop-down list
and the system populates DocumentType:"Ruling" into the search string.
Filed by Restricts documents in the result set to the party that filed the document. This can
be different from the registered party if filed by a representative. Example: the user
selects Bennett Jones LLP from the party look-up tool and the system
populates FiledBy:"Bennett Jones LLP" into the search string.
Registered party Restricts documents in the result set to the party that the application or filing
document is made on behalf of.

22.3 Searches with multiple search terms or properties
Multiple search terms and properties can be added to facilitate more complex searches usually
producing smaller results sets:
Example: Find me a recent precedent ruling on confidential treatment of proprietary information.
Example: Was honour of the Crown raised on the record of proceeding 22612?

Example: What were AML’s comments on the CCA cost claims on proceeding 25973?
22.4 Groups
When searching using multiple search terms or properties, it is beneficial to use the group functionality.
The system will automatically add the parenthesis in the search string to ensure the order of operations

is set by the group numbers. The system will automatically group search terms that are identical with
the same group number and insert the OR operator.
In the example below, the order of operations is as follows:
The proceeding ID 25973 is the first qualifier, secondly by any of the words CCA OR cost OR claim, and
thirdly by either Altalink Management Ltd. OR Enoch Cree Nation OR TransAlta Corporation.
The results set will include results where:

• Altalink Management Ltd. commented on the cost claims by the CCA on proceeding 25973.
• Enoch Cree Nation commented on the cost claims by the CCA on proceeding 25973.
• TransAlta commented on the cost claims by the CCA on proceeding 25973.
22.5 Refiners
A set of results can be further refined by using the refiners at the left side of the results set. Refiners will
appear based on the results being returned.

Below is a list of refiners that will appear if qualified in your search results:
Refiner Example
File type PDF, Word, Excel, PowerPoint
Modified date Earlier than one year ago, One year
ago to one month ago
Application type Substation, Transmission line
Document type Ruling, argument, decision report
Revision type Blackline, clean, original
Library Public, confidential, team, restricted
Document Application, filing, disposition
category

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User Guide

Eau Claire Tower

2 System at a glance .............................................................................................................1

3 Create and manage user accounts .........................................................................................3

8 Related proceedings ........................................................................................................ 46

10 Participate in a proceeding ................................................................................................ 50

eFiling System User Guide (July 2023) • i

13 Revising a document ........................................................................................................ 68

17 System communication................................................................................................... 107

18 Dispositions ................................................................................................................. 111

ii • eFiling System User Guide (July 2023)

20 Find ........................................................................................................................... 115

21 Search ........................................................................................................................ 115

22 Advanced Search........................................................................................................... 116

eFiling System User Guide (July 2023) • iii

2.1 Main toolbar

eFiling System User Guide - Introduction July 2023) • 1

Go to… is also where you can quickly access the following:

2.3 Navigation menu

3 Create and manage user accounts

3.1 Organizational accounts

3.1.1 Organizational administrator

3.1.3 System functions by role

Modify their user profile

3.1.4 Create an organizational account

Complete the contact information for your organization. Select Next.

Complete the contact information for your account’s confidential administrator.

3.1.5 Organizational profile

3.1.6 Add/edit users

3.2 Single-user accounts

If you are part of an organization, your organization’s eFiling System

3.3 Manage accounts

Click here to open your

3.3.2 Change password

Select the Change password tab to update your password.

3.3.3 Change your security question

This is the overall flow to follow when creating a proceeding

Complete AUC Rule

View and add

12 • eFiling System User Guide – Proceedings (July 2023)

eFiling System User Guide - Applicants July 2023) • 13

Step 1: Pick the applicant

Step 2: Pick the applicant type

14 • eFiling System User Guide – Applicants (July 2023)

Step 3: Pick your contacts

5.2 View, edit and delete applicants

To view and edit an applicant

eFiling System User Guide - Applicants July 2023) • 15

6.1 Application types

6.1.2 Codes of conduct

16 • eFiling System User Guide – Applications (July 2023)

6.1.4 Decision reviews

eFiling System User Guide - Applications July 2023) • 17

6.1.5 Designated public utilities

18 • eFiling System User Guide – Applications (July 2023)

6.1.6 Emergency management

6.1.7 Electric and gas distribution

eFiling System User Guide - Applications July 2023) • 19

6.1.7.2 Gas distribution

20 • eFiling System User Guide – Applications (July 2023)

6.1.8 Electric and gas transmission

eFiling System User Guide - Applications July 2023) • 21

6.1.9 Electric facilities